SEC Form 4 · accession 0001144204-17-048904
CASI Pharmaceuticals, Inc. · CASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wei-Wu He
Director
Period of report
Sep 18, 2017
Accepted (ET)
Sep 20, 2017 · 5:00 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 | Sep 18, 2017 | P | 173,500 | $1.75 | A | 513,525 | D | |
| Common StockF1 | Sep 19, 2017 | P | 34,002 | $1.78 | A | 547,527 | D | |
| Common StockF2 | holding | — | — | — | 1,871,605 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 441,072 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $1.42 to $1.90 per share on September 18, 2017 and $1.77 to $1.78 per share on September 19, 2017. The Reporting Person undertakes to provide to the issuer, any shareholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F2The shares are held indirectly in the name of ETP Global Fund, L.P., a limited partnership of which the Reporting Person is the managing member of the general partner. The 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 indirectly in the name of Emerging Technology Partners, LLC, an LLC entity of which the Reporting Person is the managing member. The 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.