SEC Form 4 · accession 0001144204-18-063348
CASI Pharmaceuticals, Inc. · CASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ken Keyong Ren
Officer — Chief Executive Officer · Director
Period of report
Dec 3, 2018
Accepted (ET)
Dec 6, 2018 · 1:23 pm EST
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 | $0.99 | Dec 3, 2018 | A | 720,000 | A | Dec 3, 2018 | Aug 14, 2027 | Common Stock | 720,000 | 720,000 | D |
Explanation of responses
- F1On August 14, 2017, the reporting person was granted an option to purchase 720,000 shares of common stock that vest upon achievement of certain performance based conditions. The performance based condition was satisfied on December 3, 2018, resulting in vesting of the option.