SEC Form 4 · accession 0000914190-18-000396
Celcuity Inc. · CELC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Nigon
Director
Period of report
Sep 11, 2018
Accepted (ET)
Sep 13, 2018 · 5:23 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 StockF1 | Sep 11, 2018 | P | 9,747 | $22.31 | A | 90,278 | 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 | $16.23 | holding | — | — | — | — | Oct 19, 2027 | Common Stock | 8,200 | 8,200 | D |
| Stock Option (right to buy)F3 | $19.45 | holding | — | — | — | — | May 14, 2028 | Common Stock | 3,201 | 3,201 | D |
| Warrants (right to buy)F2 | $9.50 | holding | — | — | — | — | Sep 22, 2024 | Common Stock | 5,061 | 5,061 | D |
| Warrants (right to buy)F2 | $7.5628 | holding | — | — | — | — | Jan 14, 2026 | Common Stock | 4,672 | 4,672 | D |
| Warrants (right to buy)F2 | $7.5628 | holding | — | — | — | — | May 2, 2026 | Common Stock | 3,245 | 3,245 | D |
| Warrants (right to buy)F2 | $8.4208 | holding | — | — | — | — | Apr 28, 2027 | Common Stock | 8,461 | 8,461 | D |
| Warrants (right to buy)F2 | $8.4208 | holding | — | — | — | — | May 17, 2027 | Common Stock | 1,429 | 1,429 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $21.93 to $22.85 inclusive. The reporting person undertakes to provide Celcuity Inc., any security holder of Celcuity Inc. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F2Currently exercisable.
- F3This Option will vest and become exercisable on April 30, 2019, or if earlier, the date of the Company's 2019 Annual Meeting of Stockholders.