Initial Statement of Beneficial Ownership (3)
December 30 2019 - 06:07PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Makara Richard |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/20/2019
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3. Issuer Name and Ticker or Trading Symbol
Cara Therapeutics, Inc. [CARA]
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(Last)
(First)
(Middle)
C/O CARA THERAPEUTICS, INC., 107 ELM ST., 4 STAMFORD PLAZA |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) VP, Head of Accting;Controller / |
(Street)
STAMFORD, CT 06902
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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) |
Common Stock | 1000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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) | 10/17/2024 | Common Stock | 25000 | $8.03 | D | |
Stock Option (Right to Buy) | (2) | 3/30/2026 | Common Stock | 9167 | $6.00 | D | |
Stock Option (Right to Buy) | (3) | 3/8/2027 | Common Stock | 20000 | $17.41 | D | |
Stock Option (Right to Buy) | (4) | 8/17/2027 | Common Stock | 20000 | $13.51 | D | |
Stock Option (Right to Buy) | (5) | 3/6/2028 | Common Stock | 20000 | $14.18 | D | |
Stock Option (Right to Buy) | (6) | 3/6/2029 | Common Stock | 30000 | $16.10 | D | |
Explanation of Responses: |
(1) | Immediately exercisable. |
(2) | 7,917 of these shares are currently exercisable; the remaining shares shall vest and become exercisable in 3 equal monthly installments beginning on January 30, 2020, in each case subject to the Reporting Person's Continuous service, as that term is defined in the Issuer's 2014 Equity Incentive Plan (the "Plan") as of each such date. |
(3) | The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on April 8, 2017, in each case subject to the Reporting Person's Continuous service as that term is defined in the Plan as of each such date. |
(4) | The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on September 17, 2017, in each case subject to the Reporting Person's Continuous service as that term is defined in the Plan as of each such date. |
(5) | The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on April 6, 2018, in each case subject to the Reporting Person's Continuous service as that term is defined in the Plan as of each such date. |
(6) | The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on April 6, 2019, in each case subject to the Reporting Person's Continuous service as that term is defined in the Plan as of each such date. |
Remarks: Exhibit List - Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Makara Richard C/O CARA THERAPEUTICS, INC., 107 ELM ST. 4 STAMFORD PLAZA STAMFORD, CT 06902 |
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| VP, Head of Accting;Controller |
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Signatures
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/s/ Darren DeStefano, Attorney-in-Fact | | 12/30/2019 |
**Signature of Reporting Person | Date |
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