SEC Form 4 · accession 0000899243-17-005894
Kite Pharma, Inc. · KITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Wiezorek
Officer — SVP Clinical Development
Period of report
Mar 1, 2017
Accepted (ET)
Mar 2, 2017 · 6:09 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 1, 2017 | M | 18,000 | $6.89 | A | 39,071 | D | |
| Common StockF3 | Mar 1, 2017 | S | 74 | $68.92 | D | 38,997 | D | |
| Common StockF4 | Mar 1, 2017 | S | 259 | $71.24 | D | 38,738 | D | |
| Common StockF5 | Mar 1, 2017 | S | 328 | $72.36 | D | 38,410 | D | |
| Common StockF6 | Mar 1, 2017 | S | 16,561 | $75.00 | D | 21,849 | D | |
| Common StockF7 | Mar 1, 2017 | S | 157 | $75.82 | D | 21,692 | D | |
| Common StockF8 | Mar 1, 2017 | S | 150 | $76.98 | D | 21,542 | D | |
| Common StockF9 | Mar 1, 2017 | S | 311 | $78.97 | D | 21,231 | D | |
| Common StockF10 | Mar 1, 2017 | S | 160 | $79.83 | D | 21,071 | 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)F11 | $6.89 | Mar 1, 2017 | M | 18,000 | D | — | Jun 5, 2024 | Common Stock | 18,000 | 68,000 | D |
Explanation of responses
- F1Includes 376 shares acquired under the 2014 Employee Stock Purchase Plan on February 17, 2017.
- F10The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.80 to $79.86, 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.
- F11On June 6, 2014, the Reporting Person was granted options to purchase an aggregate of 200,000 shares of the Issuer's common stock. 25,000 of such shares vested on November 30, 2015. The remaining 175,000 shares vest as follows: 25% on May 5, 2015, with the remaining shares vesting in 36 equal monthly installments thereafter.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 31, 2016.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.53 to $69.31, 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 $70.58 to $71.51, 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 $71.91 to $72.79, 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.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.42 to $75.07, 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 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 $75.56 to $76.15, 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 $76.96 to $77.01, 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 $78.58 to $79.41, 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.