SEC Form 4 · accession 0001144204-18-059191
Checkpoint Therapeutics, Inc. · CKPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lindsay A Rosenwald M.D.
Director
Period of report
Nov 7, 2018
Accepted (ET)
Nov 13, 2018 · 12:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001651407
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1,F2 | Nov 7, 2018 | P | 2,100 | $2.12 | A | 28,548 | D | |
| COMMON STOCKF1,F2 | Nov 8, 2018 | P | 48,234 | $2.24 | A | 76,782 | D | |
| COMMON STOCKF1,F2 | Nov 9, 2018 | P | 49,666 | $2.35 | A | 126,448 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The range of prices for the sale transactions on November 7, 2018, was $2.05 to $2.26, the range of prices for the sale transactions on November 8, 2018, was $2.19 to $2.34, and the range of prices for the sale transactions on November 9, 2018, was $2.30 to $2.44. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- F2Includes restricted stock units which vest over various time periods, subject to Dr. Rosenwald's continued service on the board on such date.