Statement of Changes in Beneficial Ownership (4)
14 Agosto 2017 - 11:10PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Kim Helen Susan
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2. Issuer Name
and
Ticker or Trading Symbol
Kite Pharma, Inc.
[
KITE
]
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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, Business Development
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(Last)
(First)
(Middle)
C/O KITE PHARMA, INC., 2225 COLORADO AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/10/2017
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(Street)
SANTA MONICA, CA 90404
(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
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8/10/2017
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M
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3595
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A
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$53.90
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22259
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D
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Common Stock
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8/10/2017
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M
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2656
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A
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$51.43
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24915
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D
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Common Stock
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8/10/2017
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S
(1)
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6251
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D
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$120.09
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18664
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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$53.90
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8/10/2017
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M
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3595
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(2)
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12/14/2024
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Common Stock
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3595
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$0.00
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56407
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D
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Employee Stock Option (Right to Buy)
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$51.43
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8/10/2017
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M
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2656
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(3)
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5/18/2025
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Common Stock
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2656
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$0.00
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37344
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D
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Explanation of Responses:
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(1)
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The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 29, 2017.
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(2)
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25% of the 180,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
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(3)
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25% of the 120,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kim Helen Susan
C/O KITE PHARMA, INC.
2225 COLORADO AVENUE
SANTA MONICA, CA 90404
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EVP, Business Development
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Signatures
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/s/ David M. Tanen, Attorney-in-Fact
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8/11/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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Grafico Azioni KITE PHARMA, INC. (NASDAQ:KITE)
Storico
Da Dic 2024 a Gen 2025
Grafico Azioni KITE PHARMA, INC. (NASDAQ:KITE)
Storico
Da Gen 2024 a Gen 2025
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