SEC Form 3 · accession 0001615774-15-000673
Enumeral Biomedical Holdings, Inc. · ENUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anhco T. Nguyen
Officer — VP of Research and Development
Period of report
Apr 3, 2015
Accepted (ET)
Apr 3, 2015 · 4:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001561551
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 0 | 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 | $1.00 | holding | — | — | — | — | Jul 30, 2024 | Common Stock | 90,000 | — | D |
| Employee Stock Option (Right to Buy)F2,F6 | $1.00 | holding | — | — | — | — | Jul 17, 2024 | Common Stock | 28,655 | — | D |
| Employee Stock Option (Right to Buy)F3,F6 | $0.245 | holding | — | — | — | — | Jul 25, 2023 | Common Stock | 49,595 | — | D |
| Employee Stock Option (Right to Buy)F4,F6 | $0.245 | holding | — | — | — | — | Oct 26, 2022 | Common Stock | 35,819 | — | D |
| Employee Stock Option (Right to Buy)F5,F6 | $0.245 | holding | — | — | — | — | Oct 26, 2022 | Common Stock | 35,819 | — | D |
Explanation of responses
- F1The option vests and becomes exercisable as follows: (a) 15,000 shares will vest in 48 equal monthly installments beginning on July 31, 2014, and (b) 75,000 shares will vest upon the achievement of certain performance criteria.
- F2The option vests and becomes exercisable in 48 equal monthly installments beginning on July 25, 2013.
- F3The option vests and becomes exercisable upon the achievement of certain performance criteria.
- F4The option vests and becomes exercisable as follows: (a) as to 23,878 shares, in 48 equal monthly installments beginning on November 26, 2012; and (b) as to 11,941 shares, upon the achievement of certain performance criteria.
- F5The option vests and becomes exercisable as follows: (a) 3,857 shares on October 26, 2012; (b) 5,511 shares on January 4, 2013; (c) as to 16,532 shares, in 36 equal monthly installments beginning on February 4, 2013; and (d) as to 9,919 shares, upon the achievement of certain performance criteria.
- F6Represents an option issued to the reporting person in exchange for an option previously issued by Enumeral Biomedical Corp. (the "Predecessor") pursuant to the terms of the merger of the Predecessor with a wholly-owned subsidiary of the Issuer.