SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Reumuth Mary

(Last) (First) (Middle)
C/O KALA PHARMACEUTICALS, INC.
100 BEAVER STREET, SUITE 201

(Street)
WALTHAM MA 02453

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/19/2017
3. Issuer Name and Ticker or Trading Symbol
Kala Pharmaceuticals, Inc. [ KALA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) (1) 10/02/2024 Common Stock 11,520 2.3 D
Stock Option (right to buy) (2) 10/02/2024 Common Stock 11,520 2.3 D
Stock Option (right to buy) (3) 12/04/2024 Common Stock 15,360 2.3 D
Stock Option (right to buy) (4) 10/02/2025 Common Stock 5,077 5.21 D
Stock Option (right to buy) (5) 06/17/2026 Common Stock 92,096 3.34 D
Explanation of Responses:
1. This option was granted on October 2, 2014 and vests over four years, with 25% of the shares underlying the option vested on February 3, 2015, and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.
2. This option was granted on October 2, 2014 and vests over four years, with to 25% of the shares underlying the option vested on August 18, 2015, and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.
3. This option was granted on December 4, 2014 and vests over four years, with 25% of the shares underlying the option vested on December 4, 2015 and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.
4. This option was granted on October 2, 2015 and vests over four years, with 25% of the shares underlying the option vested on October 2, 2016, and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.
5. This option was granted on June 17, 2016 and vests over four years, with 25% of the shares underlying the option vested on June 17, 2017, and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.
/s/ Mary Reumuth 07/19/2017
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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