SEC Form 4 · accession 0001144204-17-031975
CASI Pharmaceuticals, Inc. · CASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cynthia W. Hu
Officer — COO, Gen Counsel and Secretary
Period of report
Jun 8, 2017
Accepted (ET)
Jun 9, 2017 · 5:03 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 | $1.0064 | Jun 8, 2017 | A | 100,000 | A | — | Jun 8, 2027 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1The stock options vest as follows: 25% on the date of grant, and the remainder ratably over three years on a monthly basis.