SEC Form 4 · accession 0001209191-17-050005
BELLICUM PHARMACEUTICALS, INC · BLCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory S. Naeve
Officer — Sr. VP, Chief Business Officer
Period of report
Aug 21, 2017
Accepted (ET)
Aug 23, 2017 · 6:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001358403
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 21, 2017 | A | 15,000 | $0.00 | A | 15,000 | D |
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)F2 | $7.63 | Aug 21, 2017 | A | 130,000 | A | — | Aug 20, 2027 | Common Stock | 130,000 | 130,000 | D |
Explanation of responses
- F1Represents grant of restricted stock units payable solely in common stock that vest in four equal annual installments on each of the one, two, three and four year anniversaries of August 21, 2017.
- F225% of the shares subject to the stock option vest and become exercisable on August 21, 2018, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.