SEC Form 4 · accession 0001213900-15-004135
Actinium Pharmaceuticals, Inc. · ATNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kaushik J Dave
Officer — President, CEO and Interim CFO · Director
Period of report
May 7, 2015
Accepted (ET)
May 22, 2015 · 5:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001388320
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1,F2 | May 7, 2015 | F | 7,083 | $2.45 | D | 57,083 | D | |
| Common stock | May 7, 2015 | D | 27,501 | $2.45 | D | 57,083 | D | |
| Common stockF3,F4 | May 7, 2015 | F | 16,000 | $2.45 | D | 73,083 | D | |
| Common Stock | May 7, 2015 | D | 68,000 | $2.45 | D | 73,083 | D | |
| Common stockF5 | May 7, 2015 | F | 12,500 | $2.45 | D | 85,583 | D | |
| Common stock | May 7, 2015 | D | 25,000 | $2.45 | D | 85,583 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchase common stockF6 | $2.52 | May 7, 2015 | A | 82,128 | A | — | May 7, 2025 | Common stock | 82,128 | 82,128 | D |
| Options to purchase common stock | $2.52 | May 7, 2015 | A | 63,063 | A | May 7, 2015 | May 7, 2025 | Common stock | 63,063 | 63,063 | D |
Explanation of responses
- F1Recipient was granted 41,667 shares of restricted common stock on 1/10/14. As of May 7, 2015, 14,166 shares were vested. Company withheld 7,083 shares to pay tax obligations of award recipient on vested shares. The remaining 27,501 unvested shares of restricted stock were cancelled and a new award of 32,869 options exercisable for shares of common stock were granted to the recipient.
- F211,667 shares vested on 1/10/15 and the share price was $5.17; 833 shares vested on 2/10/15 and the share price was $3.52; 833 shares vested on 3/10/15 and the share price was $2.95; and 833 shares vested on 4/10/15 and the share price was $2.96.
- F3Recipient was granted 100,000 shares of restricted common stock on 2/21/14. As of May 7, 2015, 32,000 shares were vested. Company withheld 16,000 shares to pay tax obligations of award recipient on vested shares. The remaining 68,000 unvested shares of restricted stock were cancelled and a new award of 82,128 options exercisable for shares of common stock were granted to the recipient.
- F428,000 shares vested on 2/21/15 and the share price was 3.51; 2,000 shares vested on 3/21/15 and the share price was $2.87; and 2,000 shares vested on 4/21/15 and the share price was $3.08.
- F5Recipient was granted 100,000 shares of restricted common stock on 9/16/13, of which 50,000 shares vested on 9/16/14. As of May 7, 2015, an additional 25,000 shares were vested in 2015. Company withheld 12,500 shares to pay tax obligations of award recipient on 2015 vested shares. The remaining 25,000 unvested shares of restricted stock were cancelled and a new award of 30,194 options exercisable for shares of common stock were granted to the recipient.
- F6Options vest based on certain miles stones: Filing IND (50%); First Patient in (10%); Hiring of VP-Mfg or other competent person and training so that person is capable of producing Iomab-B (25%); Completion of Actimab-A 1 step labeling (10%); and VP Manufacturing or other competent person to handle manufacturing and logistics of Actimab-A (5%).