Filing Details
- Accession Number:
- 0001144204-16-127052
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-10-05 16:51:38
- Reporting Period:
- 2016-10-03
- Filing Date:
- 2016-10-05
- Accepted Time:
- 2016-10-05 16:51:38
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 895051 | Casi Pharmaceuticals Inc. | CASI | Biological Products, (No Disgnostic Substances) (2836) | 581959440 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1542073 | Wei-Wu He | Casi Pharmaceuticals, Inc. 9620 Medical Center Drive, Suite 300 Rockville MD 20850 | Yes | No | 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 | 2016-10-03 | 1,871,605 | $1.19 | 1,871,605 | No | 4 | P | Indirect | See footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See footnotes |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (Right to Buy) | Acquisiton | 2016-10-03 | 366,343 | $0.00 | 366,343 | $1.11 |
| Common Stock | Warrants | Acquisiton | 2016-10-03 | 374,321 | $0.03 | 374,321 | $1.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 366,343 | 2016-10-03 | 2026-10-03 | No | 4 | A | Direct |
| 374,321 | 2017-01-02 | 2020-01-02 | No | 4 | A | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 441,072 | Indirect | See footnote |
| Common Stock | 24,698 | Direct |
Footnotes
- The shares are held directly in the name of an LLC entity of which Reporting Person is the managing member, and which the voting and dispositive control over the shares is shared by the members.
- The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest therein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for the purposes of Section 16 or for any other purposes.
- The shares are held directly in the name of an LLC entity of which the Reporting Person is the managing member, as previously reported.
Billionaire Hedge Funds
