SEC Form 4 · accession 0001104659-18-056985
STEMLINE THERAPEUTICS INC · STML
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ivan Bergstein
Officer — Chief Executive Officer · Director
Period of report
Sep 12, 2018
Accepted (ET)
Sep 14, 2018 · 9:58 pm EDT
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 | Sep 12, 2018 | A | 125,000 | $0.00 | A | 2,281,431 | D | |
| Common StockF2,F3 | Sep 12, 2018 | A | 200,000 | $0.00 | A | 2,481,431 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 125,000 restricted shares will vest in two installments as follows: 75,000 shares on February 13, 2019 and 75,000 shares on August 13, 2019.
- F2In the event the U.S. Food and Drug Administration approves of the Company's Biologics License Application with respect to ELZONRIS (the "Approval Milestone"), 100,000 shares will vest six months following the achievement of the Approval Milestone and 100,000 shares will vest on the first anniversary of the achievement of the Approval Milestone. Or, such shares will vest as follows: 66,667 restricted shares on each of September 12, 2021 and September 12, 2022, and 66,666 restricted shares on September 12, 2023.
- F3Of the 2,481,431 shares, 770,027 shares are restricted stock.