SEC Form 4 · accession 0001144204-17-051254
CASI Pharmaceuticals, Inc. · CASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sara B Capitelli
Officer — VP Fin & Principal Account Off
Period of report
Sep 29, 2017
Accepted (ET)
Oct 3, 2017 · 6:51 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 | $1.985 | Sep 29, 2017 | A | 20,000 | A | — | Aug 15, 2022 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1On August 15, 2012, the reporting person was granted an option to purchase 20,000 shares of common stock, which vested upon the achievement of a performance condition on September 29, 2017.