SEC Form 4 · accession 0001144204-18-020555
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
Apr 12, 2018
Accepted (ET)
Apr 13, 2018 · 6:03 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 | Apr 12, 2018 | M | 26,978 | $0.88 | A | 26,978 | D | |
| Common Stock | Apr 12, 2018 | F | 8,200 | $6.62 | D | 18,778 | D | |
| Common Stock | Apr 12, 2018 | D | 18,778 | $6.62 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $0.88 | Apr 12, 2018 | M | 26,978 | D | — | Mar 2, 2026 | Common Stock | 26,978 | 0 | D |
Explanation of responses
- F1These stock options are the vested portion of stock options that were granted on March 2, 2016 which vested or will vest as follows: 25% on the date of grant, and the remainder ratably over three years on a monthly basis.