SEC Form 4 · accession 0001358403-16-000261
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
Sep 16, 2016
Accepted (ET)
Sep 20, 2016 · 6:19 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 Stock | Sep 16, 2016 | M | 700 | $7.47 | A | 1,044 | D | |
| Common Stock | Sep 16, 2016 | S | 700 | $20.00 | D | 344 | D | |
| Common Stock | Sep 19, 2016 | M | 1,300 | $7.47 | A | 1,644 | D | |
| Common StockF2 | Sep 19, 2016 | S | 1,300 | $20.0138 | D | 344 | D | |
| Common Stock | Sep 20, 2016 | M | 200 | $7.47 | A | 544 | D | |
| Common Stock | Sep 20, 2016 | S | 200 | $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 | Sep 16, 2016 | M | 700 | D | — | Nov 10, 2024 | Common Stock | 700 | 42,417 | D |
| Stock Option (right to buy)F3 | $7.47 | Sep 19, 2016 | M | 1,300 | D | — | Nov 10, 2024 | Common Stock | 1,300 | 41,117 | D |
| Stock Option (right to buy)F3 | $7.47 | Sep 20, 2016 | M | 200 | D | — | Nov 10, 2024 | Common Stock | 200 | 40,917 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on March 24, 2015.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.09. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- F325% of the shares subject to the stock option vest and become exercisable on November 11, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.