SEC Form 4 · accession 0001144204-18-038360
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
Jul 12, 2018
Accepted (ET)
Jul 13, 2018 · 5:09 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 | Jul 12, 2018 | M | 35,000 | $1.985 | A | 35,000 | D | |
| Common Stock | Jul 12, 2018 | F | 8,400 | $7.4893 | D | 26,600 | D | |
| Common Stock | Jul 12, 2018 | D | 26,600 | $7.4893 | 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 | $1.985 | Jul 12, 2018 | M | 35,000 | D | — | Aug 15, 2022 | Common Stock | 35,000 | 0 | D |
Explanation of responses
- F1The stock options vested as follows: 25% on the date of grant, and the remainder ratably over three years on a monthly basis.