SEC Form 4 · accession 0001209191-15-076190

Kite Pharma, Inc. · KITE

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

Reporting owner

Rizwana F Sproule

Officer — VP Regulatory Affairs

Period of report

Oct 15, 2015

Accepted (ET)

Oct 19, 2015 · 7:30 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
Common Stock	Oct 15, 2015	M	9,567	$1.35	A	12,508	D
Common Stock^F2	Oct 15, 2015	S	395	$60.36	D	12,113	D
Common Stock^F3	Oct 15, 2015	S	1,442	$61.54	D	10,671	D
Common Stock^F4	Oct 15, 2015	S	4,377	$62.41	D	6,294	D
Common Stock^F5	Oct 15, 2015	S	2,475	$63.32	D	3,819	D
Common Stock^F6	Oct 15, 2015	S	878	$64.08	D	2,941	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)^F7	$1.35	Oct 15, 2015	M	9,567	D	—	Mar 24, 2024	Common Stock	9,567	142,598	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 $59.88 to $60.86, 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.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.95 to $61.93, 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 $61.94 to $62.92, 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 $62.94 to $63.93, 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 $63.94 to $64.26, 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.
F725% of the 200,000 shares subject to the stock option vested and became exercisable on January 6, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.