SEC Form 4 · accession 0001171843-15-004865
IMMUNOMEDICS INC · IMMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Goldenberg
Officer — See Remarks · Director
Period of report
Aug 20, 2015
Accepted (ET)
Aug 24, 2015 · 4:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000722830
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Aug 20, 2015 | A | 198,864 | $0.00 | A | 3,231,320 | I | See footnote. |
| Common Stock | holding | — | — | — | 2,853,270 | D |
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)F4 | $1.76 | Aug 20, 2015 | A | 408,163 | A | — | Aug 20, 2022 | Common Stock, par value $0.01 per share | 408,163 | 408,163 | I |
Explanation of responses
- F1The reporting person's spouse, Ms. Cynthia L. Goldenberg (also known as Cynthia L. Sullivan), President and Chief Executive Officer of the Company, was granted restricted stock units pursuant to the Immunomedics, Inc. 2014 Long-Term Incentive Plan, and vest 25% on the first anniversary of the date of grant and 6.25% on a quarterly basis thereafter.
- F2Includes a total of 190,000 shares held as joint tenants by the reporting person and his spouse.
- F3Such shares are held by the reporting person's spouse, by various trusts established for the benefit of the reporting person and/or family members of the reporting person, or by a majority-owned subsidiary of the Issuer, of which the reporting person is a director. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interests therein.
- F4The reporting person's spouse, Ms. Cynthia L. Goldenberg (also known as Cynthia L. Sullivan), President and Chief Executive Officer of the Company, was granted stock options pursuant to the Immunomedics, Inc. 2014 Long-Term Incentive Plan, and vest 25% on the first anniversary of the date of grant and 6.25% on a quarterly basis thereafter.
Remarks
Chief Scientific Officer, Chief Patent Officer, and Chairman of the BOD