SEC Form 4 · accession 0001358403-16-000263
BELLICUM PHARMACEUTICALS, INC · BLCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin M. Slawin
Officer — Chief Technology Officer · Director
Period of report
Sep 16, 2016
Accepted (ET)
Sep 20, 2016 · 6:21 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 | S | 942 | $20.00 | D | 97,264 | D | |
| Common StockF2 | Sep 16, 2016 | S | 636 | $20.00 | D | 368,346 | I | By the Jordana Slawin 2012 Family Trust |
| Common StockF4 | Sep 19, 2016 | S | 1,400 | $20.0171 | D | 95,864 | D | |
| Common StockF5,F2 | Sep 19, 2016 | S | 1,206 | $20.0075 | D | 367,140 | I | By the Jordana Slawin 2012 Family Trust |
| Common Stock | Sep 20, 2016 | S | 300 | $20.00 | D | 95,564 | D | |
| Common StockF2 | Sep 20, 2016 | S | 100 | $20.00 | D | 367,040 | I | By the Jordana Slawin 2012 Family Trust |
| Common StockF3 | holding | — | — | — | 398,067 | I | By the Kevin Slawin 2009 Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on March 23, 2016.
- F2The Reporting Person's spouse is trustee of the Jordana Slawin 2012 Family Trust. The Reporting Person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F3The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.10, inclusive. 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.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.09, inclusive. 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.