0001209191-19-033517.txt : 20190530 0001209191-19-033517.hdr.sgml : 20190530 20190530181750 ACCESSION NUMBER: 0001209191-19-033517 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190528 FILED AS OF DATE: 20190530 DATE AS OF CHANGE: 20190530 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mohindru Mani CENTRAL INDEX KEY: 0001664708 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36279 FILM NUMBER: 19867962 MAIL ADDRESS: STREET 1: C/O CARA THERAPEUTICS, INC. STREET 2: 4 STAMFORD PLAZA, 107 ELM STREET CITY: STAMFORD STATE: CT ZIP: 06902 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cara Therapeutics, Inc. CENTRAL INDEX KEY: 0001346830 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4 STAMFORD PLAZA STREET 2: 107 ELM STREET 9TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203-406-3700 MAIL ADDRESS: STREET 1: 4 STAMFORD PLAZA STREET 2: 107 ELM STREET 9TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 FORMER COMPANY: FORMER CONFORMED NAME: Cara Therapeutics Inc DATE OF NAME CHANGE: 20051213 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-05-28 0 0001346830 Cara Therapeutics, Inc. CARA 0001664708 Mohindru Mani C/O CARA THERAPEUTICS, INC. 4 STAMFORD PLAZA,107 ELM STREET, 9TH FL STAMFORD CT 06902 0 1 0 0 CFO & Chief Strategy Officer Common Stock 2019-05-28 4 A 0 8333 0.00 A 16359 D Common Stock 2019-05-29 4 S 0 2496 21.39 D 13863 D Represents the number of shares that vested under a performance-based restricted stock unit award (the "RSU") based on the Issuer's satisfaction of certain performance criteria of the award. In light of the performance-based vesting conditions of the award, such shares were not reportable under Section 16 until vesting was determined, which occurred on May 28, 2019. The vested shares represent one-third of the total number of shares subject to the award, and the remaining shares subject to the award will vest only upon the satisfaction of additional performance vesting criteria. Each RSU represents the contingent right to receive one share of common stock of the Issuer. This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on September 6, 2018 to satisfy the tax withholding obligations triggered by the vesting and of the RSUs reported herein as described in greater detail in footnote (1), and does not represent a discretionary trade by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding as described in footnote (2). The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.30 to $21.49, 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 range set forth in this footnote (4) to this Form 4. /s/Darren DeStefano, Attorney-in-Fact 2019-05-30