SEC Form 3 · accession 0001358403-19-000010
BELLICUM PHARMACEUTICALS, INC · BLCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rosemary Y. Williams
Officer — Principal Accounting Officer
Period of report
Aug 16, 2018
Accepted (ET)
Jan 4, 2019 · 4:04 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 Stock | holding | — | — | — | 3,186 | 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)F1 | $2.55 | holding | — | — | — | — | Apr 30, 2024 | Common Stock | 17,647 | — | D |
| Stock Option (right to buy)F2 | $7.47 | holding | — | — | — | — | Oct 27, 2024 | Common Stock | 11,764 | — | D |
| Stock Option (right to buy)F3 | $23.47 | holding | — | — | — | — | Feb 23, 2025 | Common Stock | 14,000 | — | D |
| Stock Option (right to buy)F4 | $19.00 | holding | — | — | — | — | Jan 3, 2026 | Common Stock | 15,000 | — | D |
| Stock Option (right to buy)F5 | $13.89 | holding | — | — | — | — | Jan 2, 2027 | Common Stock | 5,625 | — | D |
| Stock Option (right to buy)F6 | $11.70 | holding | — | — | — | — | Jul 2, 2027 | Common Stock | 13,125 | — | D |
| Stock Option (right to buy)F7 | $9.23 | holding | — | — | — | — | Jan 1, 2028 | Common Stock | 9,225 | — | D |
| Stock Option (right to buy)F8 | $7.72 | holding | — | — | — | — | Jul 1, 2028 | Common Stock | 21,525 | — | D |
| Restricted Stock UnitsF10,F9 | — | holding | — | — | — | — | — | Common Stock | 2,344 | — | D |
| Restricted Stock UnitsF10,F11 | — | holding | — | — | — | — | — | Common Stock | 5,125 | — | D |
Explanation of responses
- F125% of the shares subject to the stock option vest and become exercisable on May 1, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
- F10Each RSU represents a contingent right to receive one share of the Issuer common stock.
- F11On January 2, 2018, the reporting person was granted the RSUs for 5,125 shares. The RSUs vest in four equal annual installments beginning on January 2, 2019.
- F225% of the shares subject to the stock option vest and become exercisable on October 28, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
- F325% of the shares subject to the stock option vest and become exercisable on February 24, 2016, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
- F425% of the shares subject to the stock option vest and become exercisable on January 4, 2017, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
- F525% of the shares subject to the stock option vest and become exercisable on January 3, 2018, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
- F625% of the shares subject to the stock option vest and become exercisable on July 03, 2018, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
- F725% of the shares subject to the stock option vest and become exercisable on January 2, 2019, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
- F825% of the shares subject to the stock option vest and become exercisable on July 02, 2019, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
- F9On January 3, 2017, the reporting person was granted restricted stock units (the "RSUs") for 3,125 shares. The RSUs vest in four annual installments beginning on January 3, 2018.