SEC Form 4 · accession 0001144204-16-139495
Marker Therapeutics, Inc. · MRKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John N Bonfiglio
Officer — President and COO · Director
Period of report
Dec 12, 2016
Accepted (ET)
Dec 14, 2016 · 4:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094038
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 12, 2016 | M | 10,417 | $1.74 | A | 31,251 | D | |
| Common StockF1 | Dec 12, 2016 | G | 10,417 | $0.00 | D | 20,834 | D | |
| Common StockF1 | Dec 12, 2016 | G | 10,417 | $0.00 | A | 10,417 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $1.74 | Dec 12, 2016 | M | 10,417 | D | — | Feb 10, 2025 | Common Stock | 10,417 | 85,416 | D |
Explanation of responses
- F1Represents a partial exercise of a stock option award under the Company's 2014 Omnibus Stock Ownership Plan (the "Plan") originally granted in connection with services to the Company as a consultant. The options fully vested on January 31, 2016. In connection with the exercise of the options, Reporting Person transferred the shares to his spouse.