SEC Form 4 · accession 0001209191-15-076188
Kite Pharma, Inc. · KITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Margo R Roberts
Officer — Chief Scientific Officer
Period of report
Oct 15, 2015
Accepted (ET)
Oct 19, 2015 · 7:28 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 Stock | Oct 15, 2015 | M | 5,500 | $0.70 | A | 7,698 | D | |
| Common Stock | Oct 15, 2015 | M | 645 | $17.00 | A | 8,343 | D | |
| Common StockF2 | Oct 15, 2015 | S | 361 | $60.08 | D | 7,982 | D | |
| Common StockF3 | Oct 15, 2015 | S | 1,300 | $61.79 | D | 6,682 | D | |
| Common StockF4 | Oct 15, 2015 | S | 2,800 | $62.62 | D | 3,882 | D | |
| Common StockF5 | Oct 15, 2015 | S | 1,600 | $63.60 | D | 2,282 | D | |
| Common Stock | Oct 15, 2015 | S | 84 | $64.25 | D | 2,198 | 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)F6 | $0.70 | Oct 15, 2015 | M | 5,500 | D | — | Oct 7, 2023 | Common Stock | 5,500 | 107,625 | D |
| Employee Stock Option (Right to Buy)F7 | $17.00 | Oct 15, 2015 | M | 645 | D | — | Jun 18, 2024 | Common Stock | 645 | 34,523 | 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 March 31, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.77 to $60.27, 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 $61.20 to $62.15, 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.20 to $63.09, 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 $63.20 to $64.13, 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.
- F625% of the 150,000 shares subject to the stock option vested and became exercisable on August 19, 2014, and the remaining shares subject to the stock option vest and become exercisable in 36 monthly installments as of the last calendar day of each month following the initial vesting date.
- F725% of the 50,000 shares subject to the stock option vested and became exercisable on June 19, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 monthly installments as of the last calendar day of each month following the initial vesting date.