SEC Form 4 · accession 0001209191-15-069828
Kite Pharma, Inc. · KITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David D Chang
Officer — EVP, R&D, Chief Medical Off.
Period of report
Sep 3, 2015
Accepted (ET)
Sep 8, 2015 · 7:14 pm EDT
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 | Sep 3, 2015 | M | 316 | $6.89 | A | 7,220 | D | |
| Common Stock | Sep 3, 2015 | S | 316 | $55.00 | D | 6,904 | D | |
| Common Stock | Sep 8, 2015 | M | 7,384 | $6.89 | A | 14,288 | D | |
| Common Stock | Sep 8, 2015 | S | 7,384 | $55.00 | D | 6,904 | 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)F3 | $6.89 | Sep 3, 2015 | M | 316 | D | — | Jun 5, 2024 | Common Stock | 316 | 276,584 | D |
| Employee Stock Option (Right to Buy)F3 | $6.89 | Sep 8, 2015 | M | 7,384 | D | — | Jun 5, 2024 | Common Stock | 7,384 | 269,200 | D |
Explanation of responses
- F1Includes 904 shares acquired under the 2014 Employee Stock Purchase Plan on August 20, 2015.
- 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, 2015.
- F325% of the 300,000 shares subject to the stock option vested and became exercisable on June 2, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.