SEC Form 3 · accession 0001144204-18-056564
CASI Pharmaceuticals, Inc. · CASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wealth Strategy Holding Ltd
10% Owner
Period of report
Sep 24, 2018
Accepted (ET)
Oct 31, 2018 · 7:24 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 | holding | — | — | — | 8,594,061 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $1.69 | holding | — | — | — | Jan 23, 2017 | Jan 23, 2020 | Common Stock | 493,827 | — | D |
| Warrant | $3.75 | holding | — | — | — | Apr 17, 2018 | Apr 17, 2020 | Common Stock | 666,666 | — | D |
| Warrant | $3.69 | holding | — | — | — | Sep 17, 2018 | Mar 21, 2023 | Common Stock | 370,370 | — | D |
| Warrant | $7.19 | holding | — | — | — | Mar 23, 2019 | Sep 24, 2021 | Common Stock | 559,701 | — | D |