SEC Form 4 · accession 0000914190-18-000203
Celcuity Inc. · CELC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Nigon
Director
Period of report
May 14, 2018
Accepted (ET)
May 16, 2018 · 4:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001603454
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 70,531 | D | ||
| Common Stock | holding | — | — | — | 20,300 | I | By Grandchildren's Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $19.45 | May 14, 2018 | A | 3,201 | A | — | May 14, 2028 | Common Stock | 3,201 | 3,201 | D |
| Stock Option (right to buy) | $16.23 | holding | — | — | — | Apr 30, 2018 | Oct 19, 2027 | Common Stock | 8,200 | 8,200 | D |
| Warrants (right to buy)F1 | $9.50 | holding | — | — | — | — | Sep 22, 2024 | Common Stock | 5,061 | 5,061 | D |
| Warrants (right to buy)F1 | $7.5628 | holding | — | — | — | — | Jan 14, 2026 | Common Stock | 4,672 | 4,672 | D |
| Warrants (right to buy)F1 | $7.5628 | holding | — | — | — | — | May 2, 2026 | Common Stock | 3,245 | 3,245 | D |
| Warrants (right to buy)F1 | $8.4208 | holding | — | — | — | — | Apr 28, 2027 | Common Stock | 8,461 | 8,461 | D |
| Warrants (right to buy)F1 | $8.4208 | holding | — | — | — | — | May 17, 2027 | Common Stock | 1,429 | 1,429 | D |
Explanation of responses
- F1Currently exercisable.
- F2This Option will vest and become exercisable on April 30, 2019, or if earlier, the date of the Company's 2019 Annual Meeting of Stockholders.