SEC Form 5 · accession 0001171843-16-011159
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
Jun 30, 2016
Accepted (ET)
Jul 20, 2016 · 5:01 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 | Jul 28, 2015 | A | 9,746 | $0.00 | A | 2,482,958 | D | |
| Common StockF2 | Jul 28, 2015 | F | 3,570 | $2.55 | D | 2,479,388 | D | |
| Common StockF1,F3 | Jul 28, 2015 | A | 9,747 | $0.00 | A | 3,300,599 | I | See Footnote |
| Common StockF3 | Jul 28, 2015 | F | 3,571 | $2.55 | D | 3,297,028 | I | See Footnote |
| Common StockF1,F2 | Mar 14, 2016 | A | 29,240 | $0.00 | A | 2,508,628 | D | |
| Common StockF2 | Mar 14, 2016 | F | 10,711 | $2.65 | D | 2,497,917 | D | |
| Common StockF1,F3 | Mar 14, 2016 | A | 29,240 | $0.00 | A | 3,326,268 | I | See Footnote |
| Common StockF3 | Mar 14, 2016 | F | 10,711 | $2.65 | D | 3,315,557 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the settlement of common stock underlying Performance Units that have vested in accordance with the terms of the Performance-Based Restricted Stock Unit Agreement entered into on August 16, 2013 by and between the Company and each of the reporting person and his spouse, Ms. Cynthia L. Goldenberg, President and Chief Executive Officer of the Company.
- F2Includes a total of 190,000 shares held as joint tenants by the reporting person and Ms. Goldenberg.
- 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 an officer. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interests therein.
Remarks
Chief Scientific Officer, Chief Patent Officer, and Chairman of the Board of Directors