SEC Form 4 · accession 0001358403-16-000253
BELLICUM PHARMACEUTICALS, INC · BLCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ken Moseley
Officer — Sr. VP and General Counsel
Period of report
Aug 15, 2016
Accepted (ET)
Aug 17, 2016 · 4:09 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 15, 2016 | M | 1,000 | $7.47 | A | 1,344 | D | |
| Common Stock | Aug 15, 2016 | S | 1,000 | $20.00 | D | 344 | 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)F3 | $7.47 | Aug 15, 2016 | M | 1,000 | D | — | Nov 10, 2024 | Common Stock | 1,000 | 43,117 | D |
Explanation of responses
- F1Includes 148 shares acquired under the Issuer's Employee Stock Purchase Plan on June 10, 2016.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Reporting Person on March 24, 2015.
- F325% of the shares subject to the stock option vest and became exercisable on November 11, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.