KALA BIO, Inc.
5.50%
411,000
1479419
483119202
Sep 28, 2025
Oct 1, 2025, 07:31 PM
Reporting Persons (4)
This is a joint filing. The reported shares may overlap between reporting persons and should not be summed.
| Name | Type | % of Class | Aggregate | Sole Voting | Shared Voting |
|---|---|---|---|---|---|
| SR One Capital Fund II Aggregator, LP | Partnership | 5.50% | 411,000 | 0 | 411,000 |
| SR One Capital Partners II, LP | Partnership | 5.50% | 411,000 | 0 | 411,000 |
| SR One Capital Management, LLC | Other | 5.50% | 0 | 0 | 411,000 |
| Simeon George | Individual | 5.50% | 411,000 | 0 | 411,000 |
Disclosure Items (7)
Common Stock, $0.001 par value
KALA BIO, Inc.
1167 Massachusetts Avenue, Arlington, MA, 02476
SR One Capital Fund II Aggregator, LP ("Aggregator"); SR One Capital Partners II, LP ("Partners II"); SR One Capital Management, LLC ("Parent"); and Simeon George, M.D. ("Dr. George"). Aggregator is directly controlled by its general partner, Partners II. Partners II is directly controlled by its general partner, Parent, and Dr. George controls Parent. Accordingly, each of Partners II, Parent and Dr. George may be deemed to have voting and dispositive power with respect to the Aggregator Shares (as defined below). The persons named in this Item 2 are referred to individually herein as a "Reporting Person" and collectively as the "Reporting Persons."
The address of each Reporting Person for purposes of this filing is: c/o SR One Capital Management, LP, 985 Old Eagle School Road, Suite 511, Wayne, PA 19087.
The principal business of Aggregator is to invest in and assist growth-oriented businesses. The principal business of Partners II is to act as the sole general partner of Aggregator. The principal business of Parent is to act as the sole general partner of Partners II and a number of affiliated partnerships with similar businesses. The principal business of Dr. George is to manage Parent.
During the five years prior to the date hereof, none of the Reporting Persons has been convicted in a criminal proceeding or has been a party to a civil proceeding ending in a judgment, decree or final order enjoining future violations of, or prohibiting activities subject to, federal or state securities laws or finding any violation with respect to such laws.
Aggregator and Partners II are limited partnerships organized under the laws of the State of Delaware. Parent is a limited liability company organized under the laws of the State of Delaware. Dr. George is a United States citizen.
Not applicable.
As of October 1, 2025, Aggregator is the record owner of 0 shares of Common Stock and has a right to acquire 411,000 shares of Common Stock upon conversion of the 4,110 shares of Series H Preferred (together, the "Aggregator Shares"). As the general partner of Aggregator, Partners II may be deemed to beneficially own the Aggregator Shares. As the general partner of Partners II, Parent may be deemed to beneficially own the Aggregator Shares. As the managing member of Parent, Dr. George may be deemed to beneficially own the Aggregator Shares. Each Reporting Person disclaims beneficial ownership of the Aggregator Shares other than those shares which such person owns of record. The percentage of outstanding shares of Common Stock which may be deemed to be beneficially owned by each Reporting Person is set forth on Line 13 of such Reporting Person's cover sheet. Such percentage was calculated based on 7,432,040 shares of Common Stock, which includes the sum of (i) 7,021,040 shares of Common Stock reported by the Issuer to be outstanding as of August 7, 2025, on the Issuer's Form 10-Q filed with the Securities Exchange Commission on August 8, 2025 and (ii) the number of shares of Common Stock underlying the Series H Preferred such Reporting Person is deemed to beneficially own (taking into account the Beneficial Ownership Limitation).
(i) sole power to vote or to direct the vote: See line 7 of cover sheets (ii) shared power to vote or to direct the vote: See line 8 of cover sheets (iii) sole power to dispose or to direct the disposition: See line 9 of cover sheets (iv) shared power to dispose or to direct the disposition: See line 10 of cover sheets
On September 29, 2025, Aggregator completed open market sales as part of a series of public sales whereby Aggregator sold in the aggregate 598,940 shares of Common Stock. Schedule A attached hereto as Exhibit 2 describes all open market sales of the Issuer's Common Stock that were effected during the past 60 days by the Reporting Persons.
No other person is known to have the right to receive or the power to direct the receipt of dividends from, or any proceeds from the sale of, Common Stock beneficially owned by any of the Reporting Persons.
Not applicable.
Not applicable.
Exhibit 1 - Agreement regarding filing of joint Schedule 13D. Exhibit 2 - Schedule A: Transactions during the past 60 days. Exhibit 3 - Power of Attorney regarding filings under the Securities Exchange Act of 1934, as amended.