SEC Form 4/A · accession 0001209191-16-109312
Kite Pharma, Inc. · KITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Margo R Roberts
Officer — Chief Scientific Officer
Period of report
Feb 17, 2016
Accepted (ET)
Mar 17, 2016 · 9:13 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 | Feb 17, 2016 | M | 8,625 | $0.70 | A | 17,723 | D | |
| Common StockF1 | Feb 17, 2016 | M | 1,007 | $17.00 | A | 18,730 | 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)F1,F2 | $0.70 | Feb 17, 2016 | M | 8,625 | D | — | Oct 7, 2023 | Common Stock | 8,625 | 63,750 | D |
| Employee Stock Option (Right to Buy)F1,F3 | $17.00 | Feb 17, 2016 | M | 1,007 | D | — | Jun 18, 2024 | Common Stock | 1,007 | 31,581 | D |
Explanation of responses
- F1The Form 4 is being amended to report the exercise of the same number of shares from two separate stock options. The original Form 4 incorrectly showed that the entire exercise occurred under one of the stock options.
- F225% 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.
- F325% 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.