Brazzell Romulus K's Form 4/A amendment
AmendedKALA BIO, Inc. (KALA) · filed Jan 10, 2025
- Accession no.
- 0001415889-25-001332
- Filed
- Jan 10, 2025
- Rule 10b5-1 plan
- Not checked
- Original filed
- Jan 7, 2025
This filing lists no transactions. It carries over 3 transactions from the original filing that it did not restate. Open-market sales total $18.7K.
This amendment restates part of 0001415889-25-001061 (filed Jan 7, 2025). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Brazzell Romulus KCIK 0001298079 | Officer (SEE REMARKS) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001415889-25-001061 (filed Jan 7, 2025).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 6, 2025 | Common Stock | AGrant or awardAcquired | +10,100 | $0.00 | $0 | 94,864 | Direct | |
| Jan 6, 2025 | Common Stock | SSaleDisposed | −2,446 | $7.63F4 | −$18,662.98 | 92,418 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 6, 2025 | Common Stock | AGrant or awardAcquired | +45,200 | $0.00 | $0 | 45,200 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F4
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.48 to $7.63, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This amendment is being filed solely to amend the securities as beneficially owned by the reporting person following the transactions previously reported on January 7, 2025. On January 7, 2025, the reporting person filed a Form 4 which inadvertently reported that, following the grant of restricted units and a sale of common stock, the reporting person held 92,418 shares. As reported in this amendment, the reporting person directly owned 91,636 shares of common stock following the transactions, which included 62,961 unvested restricted stock units.
Remarks
Head of Research and Development and Chief Medical Officer