SEC Form 4 · accession 0001144204-19-004170
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 29, 2019
Accepted (ET)
Jan 31, 2019 · 7:19 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 | $0.88 | Jan 29, 2019 | A | 75,000 | A | Jan 29, 2019 | Mar 2, 2026 | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F1On March 2, 2016, the reporting person was granted an option to purchase shares of common stock that would vest upon achievement of certain performance based conditions. On January 29, 2019, the Compensation Committee certified that the performance based condition relating to the vesting of 75,000 options had been satisfied on October 18, 2018, resulting in vesting of the options.