SEC Form 4 · accession 0001358403-16-000299
BELLICUM PHARMACEUTICALS, INC · BLCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Annemarie Moseley
Officer — COO/EVP Clinical Development
Period of report
Dec 1, 2016
Accepted (ET)
Dec 5, 2016 · 4:07 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 StockF1 | Dec 1, 2016 | M | 25,000 | $2.55 | A | 25,442 | D | |
| Common StockF3 | Dec 1, 2016 | S | 14,458 | $17.1746 | D | 10,984 | D | |
| Common StockF4 | Dec 1, 2016 | S | 10,542 | $18.0416 | D | 442 | 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)F5 | $2.55 | Dec 1, 2016 | M | 25,000 | D | — | Nov 25, 2022 | Common Stock | 25,000 | 27,058 | D |
Explanation of responses
- F1Includes 191 shares acquired under the Issuer's Employee Stock Purchase Plan, the "ESPP" on June 10, 2016.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on March 19, 2015.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.71 to $17.70, 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 set forth above.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.71 to $18.52, 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 set forth above.
- F525% of the shares subject to the stock option vested and became exercisable on November 26, 2013, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.