SEC Form 4 · accession 0001358403-19-000009
BELLICUM PHARMACEUTICALS, INC · BLCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory S. Naeve
Officer — Chief Business Officer
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 4:03 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 | 2,031 | — | A | 15,434 | D | |
| Common Stock | Jan 2, 2019 | F | 993 | $3.33 | D | 14,441 | 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,F3 | — | Jan 2, 2019 | M | 2,031 | D | — | — | Common Stock | 2,031 | 6,094 | 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 8,125 shares.
- F3The RSUs vest in four equal annual installments beginning on January 2, 2019.