SEC Form 4 · accession 0001358403-16-000294
BELLICUM PHARMACEUTICALS, INC · BLCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan A Musso
Officer — CFO and Treasurer
Period of report
Nov 25, 2016
Accepted (ET)
Nov 29, 2016 · 4:05 pm EST
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 StockF2,F3 | Nov 25, 2016 | S | 6,273 | $20.4815 | D | 83,575 | D | |
| Common StockF4 | Nov 28, 2016 | S | 22,427 | $19.2292 | D | 61,148 | D | |
| Common StockF5 | Nov 28, 2016 | S | 600 | $19.845 | D | 60,548 | D |
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 by Reporting Person on December 22, 2015.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.23 to $20.69. 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.
- F3Includes 665 shares acquired under the Issuer's Employee Stock Purchase Plan, the "ESPP" on June 10, 2016; and 441 shares acquired under the ESPP on December 10, 2015.
- F4The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.71 to $19.6826. 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.
- F5The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.72 to $20.07. 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.