SEC Form 4 · accession 0001209191-17-048786
Kite Pharma, Inc. · KITE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Helen Susan Kim
Officer — EVP, Business Development
Period of report
Aug 10, 2017
Accepted (ET)
Aug 14, 2017 · 5:04 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 | Aug 10, 2017 | M | 3,595 | $53.90 | A | 22,259 | D | |
| Common Stock | Aug 10, 2017 | M | 2,656 | $51.43 | A | 24,915 | D | |
| Common Stock | Aug 10, 2017 | S | 6,251 | $120.09 | D | 18,664 | 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)F2 | $53.90 | Aug 10, 2017 | M | 3,595 | D | — | Dec 14, 2024 | Common Stock | 3,595 | 56,407 | D |
| Employee Stock Option (Right to Buy)F3 | $51.43 | Aug 10, 2017 | M | 2,656 | D | — | May 18, 2025 | Common Stock | 2,656 | 37,344 | 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 June 29, 2017.
- F225% of the 180,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
- F325% of the 120,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.