# EDGAR Filing Document

**Accession Number:** 0001771917
**File Stem:** 0001104659-23-004364
**Filing Date:** 2023-1
**Character Count:** 7803
**Document Hash:** 29c9cb120c45974d0e47187b5871afda
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-004364.hdr.sgml**: 20230117

**ACCESSION NUMBER**: 0001104659-23-004364

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230112

**FILED AS OF DATE**: 20230117

**DATE AS OF CHANGE**: 20230117

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** HEALY JAMES
- **CENTRAL INDEX KEY:** 0001245624

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38958
- **FILM NUMBER:** 23532691

**MAIL ADDRESS:**
- **STREET 1:** 3000 SAND HILL ROAD, 4-250
- **CITY:** MENLO PARK
- **STATE:** CA
- **ZIP:** 94025
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Karuna Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001771917
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 270605902
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 99 HIGH STREET
- **STREET 2:** 26TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02110
- **BUSINESS PHONE:** 857-449-2244

**MAIL ADDRESS:**
- **STREET 1:** 99 HIGH STREET
- **STREET 2:** 26TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02110

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HEALY JAMES<br><sub>(Last) (First) (Middle)</sub><br>SOFINNOVA INVESTMENTS, INC.,<br>3000 SAND HILL ROAD, 4-250<br><sub>(Street)</sub><br>MENLO PARK, CA 94025<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-12 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Karuna Therapeutics, Inc. [ KRTX ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock |  |  |  |  |  |  |  | 683 | I | By Sofinnova Synergy Master Fund, LP<sup>(1)</sup> |
| Common Stock | 2023-01-12 |  | J<sup>(2)</sup> |  | 300000 | D | $0 | 1772441 | I | By Sofinnova Venture Partners X, LP<sup>(3)</sup> |
| Common Stock | 2023-01-12 |  | J<sup>(4)</sup> |  | 6027 | A | $0 | 6027 | I | By Sofinnova Management X, L.P.<sup>(5)</sup> |
| Common Stock | 2023-01-13 |  | S |  | 6027 | D | $199.8956 | 0 | I | By Sofinnova Management X, L.P.<sup>(5)</sup> |
| Common Stock |  |  |  |  |  |  |  | 32500 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) All shares held by Sofinnova Synergy Master Fund, LP (the "Fund"). Sofinnova Synergy Fund GP, LLC (the "GP"), the general partner of the Fund, may be deemed to have sole voting and dispositive power over these shares, and Dr. James I. Healy and Dr. Eric Delbridge, the managing members of the GP, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.

(2) Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Sofinnova Venture Partners X, LP ("SVP X") without consideration to its partners in accordance with the limited partnership agreement of SVP X (the "SVP X Distribution").

(3) All shares held by SVP X. Sofinnova Management X, L.P. ("SM X LP"), the general partner of SVP X, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management X-A, L.L.C. ("SM X LLC"), the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares.  Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.

(4) Shares acquired by SM X LP in connection with the SVP X Distribution reported above.

(5) All shares held by SM X LP.  SM X LLC, the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares.  Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.

**Signature:** /s/ Nathalie Auber, Attorney-in-Fact  
**Date:** 2023-01-17

### Remarks:

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 4 (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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**