SEC Form 4/A · accession 0001209191-17-042042
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
Cynthia M Butitta
Officer — Chief Operating Officer
Period of report
Jun 23, 2017
Accepted (ET)
Jun 27, 2017 · 7:07 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 | Jun 23, 2017 | M | 5,000 | $1.35 | A | 122,795 | D | |
| Common StockF2,F4 | Jun 23, 2017 | S | 2,950 | $100.54 | D | 119,845 | D | |
| Common StockF2,F5 | Jun 23, 2017 | S | 2,050 | $101.19 | D | 117,795 | 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,F6 | $1.35 | Jun 23, 2017 | M | 5,000 | D | — | Mar 25, 2024 | Common Stock | 5,000 | 110,394 | D |
Explanation of responses
- F1This report is being amended to include the same day exercise of an option that was inadvertently omitted from the initial Form 4 filing.
- F2These sales, although previously reported, are being included in this amendment simply to reflect the correct end of period holdings as a result of the option exercise reflected herein.
- F3The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 9, 2017.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.00 to $100.90, 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 $101.01 to $101.42, 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.
- F6108,839 of the 435,394 shares originally subject to the stock option vested and became exercisable on December 15, 2014, and 9,071 shares vest monthly thereafter.