SEC Form 4 · accession 0001144204-18-054994
Marker Therapeutics, Inc. · MRKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter L. Hoang
Officer — Chief Executive Officer · Director
Period of report
Oct 19, 2018
Accepted (ET)
Oct 23, 2018 · 5:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094038
Table I — non-derivative securities
No Table I lines on this filing.
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 | $9.18 | Oct 19, 2018 | A | 1,359,855 | A | — | Oct 19, 2028 | Common Stock | 1,359,855 | 1,359,855 | D |
| Employee Stock Option (Right to Buy)F2 | $9.18 | Oct 19, 2018 | A | 200,000 | A | — | Oct 19, 2028 | Common Stock | 200,000 | 200,000 | I |
Explanation of responses
- F1Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended. These options vest and are exercisable immediately. The option exercise price is the closing price on the date of the grant, October 19, 2018.
- F2Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended to Tsvetelina Hoang, Mr. Hoang's wife who serves as the Company's Vice President, Research and Development. One fifth of the shares vest ten months after the grant date, the remainder of the shares vest in monthly installments thereafter upon the continued employment of Dr. Hoang by the Company through the vesting dates. The option exercise price is the closing price on the date of the grant, October 19, 2018.