Filing Details
- Accession Number:
- 0001104659-20-036022
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-19 17:39:07
- Reporting Period:
- 2020-03-17
- Accepted Time:
- 2020-03-19 17:39:07
- 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 | Chairman And Ceo | Yes | Yes | Yes | 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 | 2020-03-17 | 264,192 | $1.50 | 5,596,537 | No | 4 | P | Indirect | See Footnote |
Common Stock | Acquisiton | 2020-03-18 | 501,322 | $1.52 | 6,097,859 | No | 4 | P | Indirect | See Footnote |
Common Stock | Acquisiton | 2020-03-19 | 234,488 | $1.57 | 6,332,347 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 441,072 | Indirect | See Footnote |
Common Stock | 827,527 | Direct |
Footnotes
- The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $1.39 to $1.60 per share on March 17, 2020, $1.48 to $1.60 per share on March 18, 2020 and $1.43 to $1.90 per share on March 19, 2020. The Reporting Person undertakes to provide to the issuer, or any shareholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- The shares are held indirectly in the name of ETP Global Fund LP, a limited partnership of which the Reporting Person is the managing member of the general partner. 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 purposes of Section 16 or any other purposes.
- The shares are held indirectly in the name of Emerging Technology Partners, LLC, an LLC entity of which the Report Person is the managing member. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest thein 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 any other purposes.