SEC Form 4 · accession 0001179110-18-014138
ENDOCYTE INC · ECYT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Beth Taylor
Officer — VP Finance & Chief Acctg Offcr
Period of report
Dec 17, 2018
Accepted (ET)
Dec 19, 2018 · 4:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001235007
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 17, 2018 | M | 16,073 | $3.55 | A | 72,414 | D | |
| Common Stock | Dec 17, 2018 | M | 5,500 | $9.86 | A | 77,914 | D | |
| Common Stock | Dec 17, 2018 | M | 9,000 | $5.10 | A | 86,914 | D | |
| Common Stock | Dec 17, 2018 | M | 3,750 | $3.18 | A | 90,664 | D | |
| Common Stock | Dec 17, 2018 | M | 9,531 | $3.21 | A | 100,195 | D | |
| Common Stock | Dec 17, 2018 | M | 5,000 | $2.16 | A | 105,195 | D | |
| Common StockF1 | Dec 17, 2018 | G | 2,500 | $0.00 | D | 102,695 | D | |
| Common StockF2 | Dec 17, 2018 | G | 1,250 | $0.00 | D | 101,445 | D | |
| Common StockF7 | Dec 19, 2018 | G | 3,186 | $0.00 | D | 98,259 | D | |
| Common StockF2 | Dec 17, 2018 | G | 1,250 | $0.00 | A | 1,250 | I | By daughter |
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)F3 | $3.55 | Dec 17, 2018 | M | 16,073 | D | — | Feb 28, 2022 | Common Stock | 16,073 | 0 | D |
| Stock option (right to buy)F3 | $9.86 | Dec 17, 2018 | M | 5,500 | D | — | Feb 19, 2023 | Common Stock | 5,500 | 9,132 | D |
| Stock option (right to buy)F3 | $5.10 | Dec 17, 2018 | M | 9,000 | D | — | Feb 4, 2025 | Common Stock | 9,000 | 0 | D |
| Stock option (right to buy)F4 | $3.18 | Dec 17, 2018 | M | 3,750 | D | — | Feb 4, 2026 | Common Stock | 3,750 | 3,750 | D |
| Stock option (right to buy)F5 | $3.21 | Dec 17, 2018 | M | 9,531 | D | — | Aug 18, 2026 | Common Stock | 9,531 | 12,969 | D |
| Stock option (right to buy)F6 | $2.16 | Dec 17, 2018 | M | 5,000 | D | — | Feb 2, 2027 | Common Stock | 5,000 | 15,000 | D |
Explanation of responses
- F1Represents gifts of 2,500 shares to family members who do not share the reporting person's household.
- F2Represents a gift of 1,250 shares by the reporting person to her daughter, who shares the reporting person's household.
- F3The option is fully vested and immediately exercisable.
- F4Shares subject to this option vest 1/4 annually over a period of four years beginning February 4, 2017.
- F5Shares subject to this option vest 1/4 annually over a period of four years beginning August 18, 2017.
- F6Shares subject to this option vest 1/4 annually over a period of four years beginning February 2, 2018.
- F7Represents a gift of 3,186 shares to a donor advised fund.