SEC Form 5 · accession 0001171843-17-005046
IMMUNOMEDICS INC · IMMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cynthia L Goldenberg
Director
Period of report
Jun 30, 2017
Accepted (ET)
Aug 14, 2017 · 4:03 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 | Jan 29, 2017 | A | 29,240 | $0.00 | A | 850,064 | D | |
| Common StockF2 | Jan 29, 2017 | F | 11,696 | $4.65 | D | 850,064 | D | |
| Common StockF1,F3 | Jan 29, 2017 | A | 29,239 | $0.00 | A | 5,118,579 | I | See Footnote |
| Common StockF3 | Jan 29, 2017 | F | 11,696 | $4.65 | D | 5,118,579 | I | See Footnote |
| Common StockF1,F2 | Mar 14, 2017 | A | 14,620 | $0.00 | A | 850,064 | D | |
| Common StockF2 | Mar 14, 2017 | F | 5,848 | $6.39 | D | 850,064 | D | |
| Common StockF1,F3 | Mar 14, 2017 | A | 14,620 | $0.00 | A | 5,118,579 | I | See Footnote |
| Common StockF3 | Mar 14, 2017 | F | 5,848 | $6.39 | D | 5,118,579 | I | See Footnote |
| Common Stock | May 18, 2017 | M | 9,500 | $3.28 | A | 850,064 | D | |
| Common Stock | May 18, 2017 | S | 9,500 | $7.3768 | D | 850,064 | D | |
| Common Stock | May 19, 2017 | M | 9,500 | $3.28 | A | 850,064 | D | |
| Common Stock | May 19, 2017 | S | 9,500 | $7.4008 | D | 850,064 | D | |
| Common Stock | May 22, 2017 | M | 9,500 | $3.28 | A | 850,064 | D | |
| Common Stock | May 22, 2017 | S | 9,500 | $7.4508 | D | 850,064 | D | |
| Common Stock | May 25, 2017 | M | 86,500 | $3.28 | A | 850,064 | D | |
| Common Stock | May 25, 2017 | S | 86,500 | $7.4181 | D | 850,064 | D | |
| Common Stock | May 25, 2017 | M | 85,000 | $3.28 | A | 850,064 | D | |
| Common StockF3 | May 18, 2017 | M | 11,500 | $3.28 | A | 5,118,579 | I | See Footnote |
| Common StockF3 | May 18, 2017 | S | 11,500 | $7.3767 | D | 5,118,579 | I | See Footnote |
| Common StockF3 | May 19, 2017 | M | 11,500 | $3.28 | A | 5,118,579 | I | See Footnote |
| Common StockF3 | May 19, 2017 | S | 11,500 | $7.3414 | D | 5,118,579 | I | See Footnote |
| Common StockF3 | May 22, 2017 | M | 11,500 | $3.28 | A | 5,118,579 | I | See Footnote |
| Common StockF3 | May 22, 2017 | S | 11,500 | $7.4548 | D | 5,118,579 | I | See Footnote |
| Common StockF3 | May 25, 2017 | M | 109,000 | $3.28 | A | 5,118,579 | I | See Footnote |
| Common StockF3 | May 25, 2017 | S | 109,000 | $7.428 | D | 5,118,579 | I | See Footnote |
| Common StockF3 | May 25, 2017 | M | 106,500 | $3.28 | A | 5,118,579 | I | See Footnote |
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 | $3.28 | May 18, 2017 | M | 9,500 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 9,500 | 190,500 | D |
| Stock Option (right to buy)F4 | $3.28 | May 19, 2017 | M | 9,500 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 9,500 | 181,000 | D |
| Stock Option (right to buy)F4 | $3.28 | May 22, 2017 | M | 9,500 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 9,500 | 171,500 | D |
| Stock Option (right to buy)F4 | $3.28 | May 25, 2017 | M | 86,500 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 86,500 | 85,000 | D |
| Stock Option (right to buy)F4 | $3.28 | May 25, 2017 | M | 85,000 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 85,000 | 0 | D |
| Stock Option (right to buy)F5 | $3.28 | May 18, 2017 | M | 11,500 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 11,500 | 238,500 | I |
| Stock Option (right to buy)F5 | $3.28 | May 19, 2017 | M | 11,500 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 11,500 | 227,000 | I |
| Stock Option (right to buy)F5 | $3.28 | May 22, 2017 | M | 11,500 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 11,500 | 215,500 | I |
| Stock Option (right to buy)F5 | $3.28 | May 25, 2017 | M | 109,000 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 109,000 | 106,500 | I |
| Stock Option (right to buy)F5 | $3.28 | May 25, 2017 | M | 106,500 | D | — | Jul 23, 2017 | Common Stock, par value $0.01 per share | 106,500 | 0 | I |
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 by and between the Company and the reporting person on August 16, 2013.
- F2Includes a total of 190,000 shares held as joint tenants by the reporting person and her spouse, David M. Goldenberg, the Issuer's Chief Scientific Officer and Chief Patent Officer.
- 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 her pecuniary interests therein.
- F4The reporting person was granted stock options pursuant to the Company's 2006 Stock Incentive Plan, as amended. Such stock options vested 25% on the first anniversary of the date of grant and 6.25% on a quarterly basis thereafter.
- F5The reporting person's spouse, Dr. David M. Goldenberg, was granted stock options pursuant to the Company's 2006 Stock Incentive Plan, as amended. Such stock options vested 25% on the first anniversary of the date grant and 6.25% on a quarterly basis thereafter.