SEC Form 4 · accession 0001144204-16-106811
CASI Pharmaceuticals, Inc. · CASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cynthia W. Hu
Officer — COO, Gen Counsel & Secretary
Period of report
Jun 2, 2016
Accepted (ET)
Jun 3, 2016 · 5:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000895051
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F1 | $0.8601 | Jun 2, 2016 | A | 87,719 | A | Jun 2, 2016 | Mar 11, 2026 | Common Stock | 87,719 | 87,719 | D |
Explanation of responses
- F1The option grant was approved by the Board of Directors on March 11, 2016, subject to stockholder approval of amendments to the 2011 Long-Term Incentive Plan (the "Amendments"). The Company's stockholders approved the Amendments on June 2, 2016.