SEC Form 4 · accession 0001144204-18-016226

CASI Pharmaceuticals, Inc. · CASI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

Period of report

Mar 19, 2018

Accepted (ET)

Mar 21, 2018 · 6:53 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 Stock^F1,F2	Mar 19, 2018	P	3,086,419	$3.24	A	4,958,024	I	See Footnote
Common Stock^F3	holding	—	—		—	441,072	I	See Footnote
Common Stock	holding	—	—		—	847,527	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants (Right to Buy)^F1,F2	$3.69	Mar 19, 2018	A	1,234,567	A	Sep 21, 2018	Mar 21, 2023	Common Stock	1,234,567	1,234,567	I

F1The purchase price per unit was $3.24. Each unit consisted of one share of common stock and warrant to purchase .40 of a share.
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.