SEC Form 4 · accession 0001358403-17-000139
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
Jul 13, 2017
Accepted (ET)
Jul 17, 2017 · 4:20 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 | Jul 13, 2017 | M | 13,823 | $2.55 | A | 14,314 | D | |
| Common StockF2,F3 | Jul 13, 2017 | S | 13,823 | $12.26 | D | 491 | D | |
| Common Stock | holding | — | — | — | 635 | I | By wife |
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)F4 | $2.55 | Jul 13, 2017 | M | 13,823 | D | — | Dec 31, 2022 | Common Stock | 13,823 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on June 3, 2017 by the Reporting Person.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.25 to $12.26, 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.
- F3Includes 147 shares acquired by the Reporting Person under the Issuer's 2014 Employee Purchase Plan on December 9, 2016.
- F425% of the shares subject to the stock option vested and became exercisable on January 1, 2014, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.