SEC Form 4 · accession 0001358403-19-000006
BELLICUM PHARMACEUTICALS, INC · BLCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan K. Smith
Officer — EVP, Technical Operations
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 4:01 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 | Jan 2, 2019 | M | 2,344 | — | A | 4,431 | D | |
| Common Stock | Jan 2, 2019 | F | 883 | $3.33 | D | 3,548 | D | |
| Common StockF1 | Jan 3, 2019 | M | 1,562 | — | A | 5,110 | D | |
| Common Stock | Jan 3, 2019 | F | 589 | $3.20 | D | 4,521 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F4 | — | Jan 2, 2019 | M | 2,344 | D | — | — | Common Stock | 2,344 | 7,031 | D |
| Restricted Stock UnitsF1,F5 | — | Jan 3, 2019 | M | 1,562 | D | — | — | Common Stock | 1,562 | 3,125 | D |
Explanation of responses
- F1Each Restricted Stock Unit (the "RSU") represents a contingent right to receive one share of the Issuer common stock.
- F2Represents the number of shares withheld by and surrendered to the Issuer on January 2, 2019, to satisfy tax withholding obligations that arose in connection with the vesting of the RSUs granted to the reporting person on January 2, 2018 for 9,375 shares.
- F3Represents the number of shares withheld by and surrendered to the Issuer on January 3, 2019, to satisfy tax withholding obligations that arose in connection with the vesting of the RSUs granted to the reporting person on January 3, 2017 for 6,250 shares.
- F4The RSUs vest in four equal annual installments beginning on January 2, 2019.
- F5The RSUs vest in four equal annual installments beginning on January 3, 2018.
Remarks
EXHIBIT LIST: EX-24 Power of Attorney