SEC Form 3 · accession 0001144204-19-005317
CASI Pharmaceuticals, Inc. · CASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dapeng Li
10% Owner
Period of report
Oct 13, 2017
Accepted (ET)
Feb 6, 2019 · 4:05 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 | holding | — | — | — | 3,081,875 | D | ||
| Common Stock | holding | — | — | — | 4,115,225 | I | By Zhejiang Kanglaite Group Co., Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy) | $1.69 | holding | — | — | — | Apr 15, 2016 | Apr 15, 2019 | Common Stock | 411,522 | — | I |
| Warrant (right to buy) | $1.69 | holding | — | — | — | Sep 23, 2016 | Sep 23, 2019 | Common Stock | 164,609 | — | I |
| Warrant (right to buy) | $1.69 | holding | — | — | — | Jan 2, 2017 | Jan 2, 2020 | Common Stock | 246,913 | — | I |
| Warrant (right to buy) | $3.75 | holding | — | — | — | Apr 17, 2018 | Apr 17, 2020 | Common Stock | 616,375 | — | D |