SEC Form 4 · accession 0001209191-17-041873
Kite Pharma, Inc. · KITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Owen N. Witte
Director
Period of report
Jun 23, 2017
Accepted (ET)
Jun 26, 2017 · 7:55 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 | Jun 23, 2017 | M | 10,000 | $6.89 | A | 98,750 | D | |
| Common Stock | Jun 23, 2017 | M | 2,500 | $62.44 | A | 101,250 | D | |
| Common StockF2 | Jun 23, 2017 | S | 12,500 | $100.00 | D | 88,750 | D | |
| Common StockF3 | Jun 26, 2017 | S | 12,500 | $100.60 | D | 76,250 | 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)F4 | $6.89 | Jun 23, 2017 | M | 10,000 | D | — | Jun 6, 2024 | Common Stock | 10,000 | 10,000 | D |
| Employee Stock OptionF5 | $62.44 | Jun 23, 2017 | M | 2,500 | D | — | Jun 8, 2025 | Common Stock | 2,500 | 0 | D |
Explanation of responses
- F1The sales made on June 23, 2017 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 28, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.00 to $100.02, 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 $100.56 to $100.80, 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 option was granted on June 6, 2014 and vests in four equal annual installments beginning on the first anniversary of the date of grant.
- F5The option is fully vested and exercisable.