SEC Form 4 · accession 0000899243-17-005888

Kite Pharma, Inc. · KITE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Helen Susan Kim

Officer — EVP, Business Development

Period of report

Feb 28, 2017

Accepted (ET)

Mar 2, 2017 · 6:05 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001510580

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock	Feb 28, 2017	M	31,601	$51.43	A	50,265	D
Common Stock	Feb 28, 2017	M	16,299	$53.90	A	66,564	D
Common Stock	Feb 28, 2017	S	2,400	$63.00	D	64,164	D
Common Stock^F2	Feb 28, 2017	S	18,072	$65.81	D	46,092	D
Common Stock^F3	Feb 28, 2017	S	10,326	$66.32	D	35,766	D
Common Stock^F4	Feb 28, 2017	S	2,500	$67.49	D	33,266	D
Common Stock^F5	Feb 28, 2017	S	900	$68.74	D	32,366	D
Common Stock^F6	Feb 28, 2017	S	2,553	$69.63	D	29,813	D
Common Stock^F7	Feb 28, 2017	S	9,049	$71.16	D	20,764	D
Common Stock^F8	Feb 28, 2017	S	1,800	$71.65	D	18,964	D
Common Stock^F9	Feb 28, 2017	S	300	$72.60	D	18,664	D
Common Stock	Mar 1, 2017	M	2,400	$53.90	A	21,064	D
Common Stock^F10	Mar 1, 2017	S	200	$68.95	D	20,864	D
Common Stock^F11	Mar 1, 2017	S	300	$70.29	D	20,564	D
Common Stock^F12	Mar 1, 2017	S	200	$71.23	D	20,364	D
Common Stock^F13	Mar 1, 2017	S	200	$72.69	D	20,164	D
Common Stock	Mar 1, 2017	S	100	$73.64	D	20,064	D
Common Stock^F14	Mar 1, 2017	S	200	$75.52	D	19,864	D
Common Stock^F15	Mar 1, 2017	S	200	$76.93	D	19,664	D
Common Stock^F16	Mar 1, 2017	S	600	$79.26	D	19,064	D
Common Stock^F17	Mar 1, 2017	S	400	$79.92	D	18,664	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F18	$51.43	Feb 28, 2017	M	31,601	D	—	May 18, 2025	Common Stock	31,601	52,499	D
Employee Stock Option (Right to Buy)^F19	$53.90	Feb 28, 2017	M	16,299	D	—	Dec 16, 2024	Common Stock	16,299	163,701	D
Employee Stock Option (Right to Buy)^F19	$53.90	Mar 1, 2017	M	2,400	D	—	Dec 16, 2024	Common Stock	2,400	161,301	D

Explanation of responses

F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 7, 2016.
F10The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.66 to $69.23 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 set forth above.
F11The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.89 to $70.71 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 set forth above.
F12The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.09 to $71.36 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 set forth above.
F13The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.55 to $72.83 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 set forth above.
F14The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.25 to $75.79 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 set forth above.
F15The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.86 to $77.00 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 set forth above.
F16The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.65 to $79.61 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 set forth above.
F17The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.69 to $80.38 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 set forth above.
F1825% of the 120,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
F1925% of the 180,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.00 to $65.99 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 set forth above.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.00 to $66.96, 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 set forth above.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.00 to $67.91 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 set forth above.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.25 to $69.19 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 set forth above.
F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.25 to $69.91 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 set forth above.
F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.54 to $71.52 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 set forth above.
F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.54 to $71.80 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 set forth above.
F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.59 to $72.60 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 set forth above.