SEC Form 4 · accession 0001209191-16-150176
CELGENE CORP /DE/ · CELG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael F. Pehl
Officer — See remarks
Period of report
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 4:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000816284
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2016 | M | 938 | $36.36 | A | 2,566 | D | |
| Common Stock | Nov 10, 2016 | M | 781 | $114.08 | A | 3,347 | D | |
| Common Stock | Nov 10, 2016 | M | 1,668 | $34.70 | A | 5,015 | D | |
| Common Stock | Nov 10, 2016 | M | 1,668 | $36.68 | A | 6,683 | D | |
| Common Stock | Nov 10, 2016 | M | 1,668 | $49.48 | A | 8,351 | D | |
| Common Stock | Nov 10, 2016 | M | 1,876 | $59.24 | A | 10,227 | D | |
| Common Stock | Nov 10, 2016 | M | 1,876 | $71.33 | A | 12,103 | D | |
| Common Stock | Nov 10, 2016 | M | 1,876 | $78.12 | A | 13,979 | D | |
| Common Stock | Nov 10, 2016 | M | 1,874 | $74.30 | A | 15,853 | D | |
| Common Stock | Nov 10, 2016 | M | 1,250 | $87.64 | A | 17,103 | D | |
| Common Stock | Nov 10, 2016 | M | 625 | $103.10 | A | 17,728 | D | |
| Common Stock | Nov 10, 2016 | M | 1,250 | $117.18 | A | 18,978 | D | |
| Common Stock | Nov 10, 2016 | M | 625 | $118.57 | A | 19,603 | D | |
| Common Stock | Nov 10, 2016 | M | 781 | $109.90 | A | 20,384 | D | |
| Common Stock | Nov 10, 2016 | M | 1,668 | $36.47 | A | 22,052 | D | |
| Common StockF1 | Nov 10, 2016 | S | 20,424 | $121.03 | D | 1,628 | D | |
| Common Stock | Nov 10, 2016 | S | 1,628 | $121.15 | D | 0 | 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)F3,F2 | $36.36 | Nov 10, 2016 | M | 938 | D | — | Jan 30, 2022 | Common Stock | 938 | 0 | D |
| Stock Option (right to buy)F3,F2 | $114.08 | Nov 10, 2016 | M | 781 | D | — | Nov 9, 2025 | Common Stock | 781 | 2,344 | D |
| Stock Option (right to buy)F3,F2 | $34.70 | Nov 10, 2016 | M | 1,668 | D | — | Jul 30, 2022 | Common Stock | 1,668 | 0 | D |
| Stock Option (right to buy)F3,F2 | $36.68 | Nov 10, 2016 | M | 1,668 | D | — | Oct 31, 2022 | Common Stock | 1,668 | 0 | D |
| Stock Option (right to buy)F3,F2 | $49.48 | Nov 10, 2016 | M | 1,668 | D | — | Jan 28, 2023 | Common Stock | 1,668 | 1,668 | D |
| Stock Option (right to buy)F3,F2 | $59.24 | Nov 10, 2016 | M | 1,876 | D | — | Apr 29, 2023 | Common Stock | 1,876 | 1,876 | D |
| Stock Option (right to buy)F3,F2 | $71.33 | Nov 10, 2016 | M | 1,876 | D | — | Jul 29, 2023 | Common Stock | 1,876 | 1,876 | D |
| Stock Option (right to buy)F3,F2 | $78.12 | Nov 10, 2016 | M | 1,876 | D | — | Oct 28, 2023 | Common Stock | 1,876 | 1,876 | D |
| Stock Option (right to buy)F3,F2 | $74.30 | Nov 10, 2016 | M | 1,874 | D | — | Feb 3, 2024 | Common Stock | 1,874 | 3,752 | D |
| Stock Option (right to buy)F3,F2 | $87.64 | Nov 10, 2016 | M | 1,250 | D | — | Jul 28, 2024 | Common Stock | 1,250 | 2,500 | D |
| Stock Option (right to buy)F3,F2 | $103.10 | Nov 10, 2016 | M | 625 | D | — | Oct 27, 2024 | Common Stock | 625 | 1,250 | D |
| Stock Option (right to buy)F3,F2 | $117.18 | Nov 10, 2016 | M | 1,250 | D | — | Dec 19, 2024 | Common Stock | 1,250 | 3,750 | D |
| Stock Option (right to buy)F3,F2 | $118.57 | Nov 10, 2016 | M | 625 | D | — | Feb 2, 2025 | Common Stock | 625 | 1,875 | D |
| Stock Option (right to buy)F3,F2 | $109.90 | Nov 10, 2016 | M | 781 | D | — | May 4, 2025 | Common Stock | 781 | 2,344 | D |
| Stock Option (right to buy)F3,F2 | $36.47 | Nov 10, 2016 | M | 1,668 | D | — | Apr 30, 2022 | Common Stock | 1,668 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold by the reporting person in multiple transactions at prices ranging from $120.99 to $121.22, inclusive. The reporting person undertakes to provide to Celgene Corporation (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1).
- F2The option was fully exercisable.
- F3The option was issued pursuant to the Company's 2008 Stock Incentive Plan (as Amended and Restated on April 15, 2015).
Remarks
President Hematology & Oncology