SEC Form 4 · accession 0001209191-15-081865
Alaunos Therapeutics, Inc. · TCRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Caesar J Belbel
Officer — COO, CLO, and Secretary
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 8:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001107421
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 19, 2015 | M | 153,333 | $2.30 | A | 212,534 | D | |
| Common StockF1 | Nov 19, 2015 | S | 153,333 | $12.84 | D | 59,201 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $2.30 | Nov 19, 2015 | M | 153,333 | D | — | Jun 26, 2023 | Common Stock | 153,333 | 76,667 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $12.70 to $12.99, inclusive. The reporting person undertakes to provide to ZIOPHARM Oncology, Inc., any security holder of ZIOPHARM Oncology, Inc., 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 ranges set forth in this footnote (1).
- F2The option is vested with respect to 153,333 shares; the option vests with respect to the remaining 76,667 shares on 6/27/2016.