SEC Form 4 · accession 0001144204-16-127052
CASI Pharmaceuticals, Inc. · CASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wei-Wu He
Director
Period of report
Oct 3, 2016
Accepted (ET)
Oct 5, 2016 · 4:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000895051
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 3, 2016 | P | 1,871,605 | $1.19 | A | 1,871,605 | I | See footnotes |
| Common StockF3 | holding | — | — | — | 441,072 | I | See footnote | |
| Common Stock | holding | — | — | — | 24,698 | D |
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) | $1.11 | Oct 3, 2016 | A | 366,343 | A | Oct 3, 2016 | Oct 3, 2026 | Common Stock | 366,343 | 366,343 | D |
| WarrantsF1,F2 | $1.69 | Oct 3, 2016 | A | 374,321 | A | Jan 2, 2017 | Jan 2, 2020 | Common Stock | 374,321 | 374,321 | I |
Explanation of responses
- F1The shares are held directly in the name of an LLC entity of which Reporting Person is the managing member, and which the voting and dispositive control over the shares is shared by the members.
- F2The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest therein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for the purposes of Section 16 or for any other purposes.
- F3The shares are held directly in the name of an LLC entity of which the Reporting Person is the managing member, as previously reported.