SEC Form 4 · accession 0001104659-15-087566
STEMLINE THERAPEUTICS INC · STML
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Hoberman
Officer — Chief Operating Officer
Period of report
Dec 31, 2015
Accepted (ET)
Dec 31, 2015 · 8:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001264587
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 31, 2015 | G | 60,000 | $0.00 | D | 62,119 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F2 | $2.21 | Dec 16, 2009 | G | 9,035 | D | Dec 16, 2009 | May 16, 2019 | Common Stock | 9,035 | 0 | D |
| Stock Options (Right to Buy)F3 | $2.21 | Mar 22, 2010 | G | 50,965 | D | Mar 22, 2010 | Mar 22, 2020 | Common Stock | 63,246 | 12,281 | D |
Explanation of responses
- F1On December 31, 2015, 60,000 shares are being transferred into an irrevocable trust for the benefit of Mr. Hoberman's minor children. Mr. Hoberman is not a trustee of the trust and has no investment control over the securities held by the trust.
- F2On December 31, 2015, 9,035 options to purchase shares of common stock are being transferred into an irrevocable trust for the benefit of Mr. Hoberman's minor children. Mr. Hoberman is not a trustee of the trust and has no investment control over the securities held by the trust.
- F3On December 31, 2015, 50,965 options to purchase shares of common stock are being transferred into an irrevocable trust for the benefit of Mr. Hoberman's minor children. Mr. Hoberman is not a trustee of the trust and has no investment control over the securities held by the trust.