Filing Details
- Accession Number:
- 0001104659-13-087577
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-27 20:22:25
- Reporting Period:
- 2013-11-22
- Filing Date:
- 2013-11-27
- Accepted Time:
- 2013-11-27 20:22:25
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1264587 | Stemline Therapeutics Inc | STML | Pharmaceutical Preparations (2834) | 450522567 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1573722 | Kenneth Hoberman | C/O Stemline Therapeutics, Inc. 750 Lexington Avenue, Eleventh Floor New York NY 10022 | Chief Operating Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-11-22 | 35,000 | $1.11 | 54,288 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-22 | 11,523 | $20.14 | 42,765 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-25 | 37,000 | $1.11 | 79,765 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-25 | 14,350 | $21.94 | 65,415 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-26 | 6,967 | $1.11 | 72,382 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-26 | 3,144 | $21.27 | 69,238 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-27 | 33,973 | $1.11 | 103,211 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-27 | 15,411 | $19.91 | 87,800 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2013-11-22 | 35,000 | $0.00 | 35,000 | $1.11 |
| Common Stock | Stock Option (right to buy) | Disposition | 2013-11-25 | 37,000 | $0.00 | 37,000 | $1.11 |
| Common Stock | Stock Option (right to buy) | Disposition | 2013-11-26 | 6,967 | $0.00 | 6,967 | $1.11 |
| Common Stock | Stock Options (right to buy) | Disposition | 2013-11-27 | 33,973 | $0.00 | 33,973 | $1.11 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 77,940 | 2013-12-01 | No | 4 | M | Direct | |
| 40,940 | 2013-12-01 | No | 4 | M | Direct | |
| 33,973 | 2013-12-01 | No | 4 | M | Direct | |
| 0 | 2013-12-01 | No | 4 | M | Direct |
Footnotes
- In connection with the exercise of stock options by the reporting person, a total of 44,428 shares were withheld by the Company in order to satisfy the reporting person's tax withholding obligations. Mr. Hoberman had no discretion with respect to such sale, which was withheld automatically in accordance with the issuer's corporate policies.
- Reflects the weighted average sale price. The range of prices for such transaction is $19.94 to $20.69. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- Reflects the weighted average sale price. The range of prices for such transaction is $22.11 to $22.55. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- Reflects the weighted average sale price. The range of prices for such transaction is $21.20 to $21.61. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- Reflects the weighted average sale price. The range of prices for such transaction is $19.68 to $20.18. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- The option vested in full on July 1, 2004.
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