SEC Form 4 · accession 0001415889-16-004378
CTI BIOPHARMA CORP · CTIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
BVF PARTNERS L P/IL
10% Owner
Inc/il Bvf
10% Owner
Mark N Lampert
10% Owner
Biotechnology Value Trading Fund OS LP
10% Owner · Other
BVF Partners OS Ltd.
10% Owner · Other
Period of report
Jan 7, 2016
Accepted (ET)
Jan 11, 2016 · 8:17 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000891293
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, no par value per shareF1,F2 | Jan 7, 2016 | P | 508,287 | $1.2171 | A | 15,405,846 | D | |
| Common Stock, no par value per shareF1,F3 | Jan 7, 2016 | P | 87,747 | $1.2171 | A | 8,760,787 | D | |
| Common Stock, no par value per shareF1,F4 | Jan 7, 2016 | P | 29,655 | $1.2171 | A | 3,058,173 | D | |
| Common Stock, no par value per shareF1,F5 | Jan 7, 2016 | P | 8,091 | $1.2171 | A | 17,204,587 | I | Please see footnote |
| Common Stock, no par value per shareF1,F2 | Jan 8, 2016 | P | 186,314 | $1.2171 | A | 15,592,160 | D | |
| Common Stock, no par value per shareF1,F3 | Jan 8, 2016 | P | 90,049 | $1.2171 | A | 8,850,836 | D | |
| Common Stock, no par value per shareF1,F4 | Jan 8, 2016 | P | 32,571 | $1.2171 | A | 3,090,744 | D | |
| Common Stock, no par value per shareF1,F5 | Jan 8, 2016 | P | 58,613 | $1.2171 | A | 17,263,200 | I | Please see footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons").Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of CommonStock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or itspecuniary interest therein.
- F2Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stockowned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stockowned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly byBVF.
- F3Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stockowned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of CommonStock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owneddirectly by BVF2.
- F4Shares of Common Stock owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially ownthe shares of Common Stock owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS,Partners may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment adviser and generalpartner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As a director and officerof BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS.
- F5Shares of Common Stock held in certain Partners management accounts (the "Partners Management Accounts"). Partners, as the investment manager of thePartners Management Accounts may be deemed to beneficially own the shares of Common Stock held by the Partners Management Accounts.