SEC Form 4 · accession 0001144204-19-001739
CASI Pharmaceuticals, Inc. · CASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cynthia W. Hu
Officer — COO, Gen Counsel & Secretary
Period of report
Jan 14, 2019
Accepted (ET)
Jan 15, 2019 · 4:02 pm EST
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 | Jan 14, 2019 | M | 15,000 | $1.76 | A | 32,785 | D | |
| Common Stock | Jan 14, 2019 | F | 3,100 | $3.79 | D | 29,685 | D | |
| Common Stock | holding | — | — | — | 74,982 | I | Held by Spouse |
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 | $1.76 | Jan 14, 2019 | M | 15,000 | D | — | Jan 27, 2019 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1The stock options vested as follows: 25% on the date of grant, and an additional 25% on each successive anniversary of the grant date until the option is fully vested.