Statement of Changes in Beneficial Ownership (4)
07 1월 2020 - 7:01AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Smith Alan K. |
2. Issuer Name and Ticker or Trading Symbol
BELLICUM PHARMACEUTICALS, INC
[
BLCM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, Technical Operations |
(Last)
(First)
(Middle)
C/O BELLICUM PHARMACEUTICALS, INC., 2130 W. HOLCOMBE BLVD., STE. 800 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/2/2020 |
(Street)
HOUSTON, TX 77030
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 1/2/2020 | | M | | 2344 | A | (1) | 6865 | D | |
Common Stock | 1/2/2020 | | F(2) | | 883 | D | $1.51 | 5982 | D | |
Common Stock | 1/3/2020 | | M | | 1563 | A | (1) | 7545 | D | |
Common Stock | 1/3/2020 | | F(3) | | 589 | D | $1.40 | 6956 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 1/2/2020 | | M | | | 2344 | (4) | (4) | Common Stock | 2344.0 | $0 | 4687 | D | |
Restricted Stock Units | (1) | 1/3/2020 | | M | | | 1563 | (5) | (5) | Common Stock | 1563.0 | $0 | 1562 | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit (the "RSU") represents a contingent right to receive one share of BLCM common stock. |
(2) | Represents the number of shares withheld by and surrendered to the Issuer on January 2, 2020, to satisfy tax withholding obligations that arose in connection with the vesting of the RSUs granted to the reporting person on January 2, 2018 for 9,375 shares. |
(3) | Represents the number of shares withheld by and surrendered to the Issuer on January 3, 2020, to satisfy tax withholding obligations that arose in connection with the vesting of the RSUs granted to the reporting person on January 3, 2017 for 6,250 shares. |
(4) | On January 2, 2018, the reporting person was granted 9,375 RSUs, of which 2,344 vested on January 2, 2020. The RSUs vest in four annual installments beginning January 2, 2019. |
(5) | On January 3, 2017, the reporting person was granted 6,250 RSUs, of which 1,563 vested on January 3, 2020. The RSUs vest in four annual installments beginning January 3, 2018. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Smith Alan K. C/O BELLICUM PHARMACEUTICALS, INC. 2130 W. HOLCOMBE BLVD., STE. 800 HOUSTON, TX 77030 |
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| EVP, Technical Operations |
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Signatures
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/s/ Alan K. Smith, Ph.D. | | 1/6/2020 |
**Signature of Reporting Person | Date |
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