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Filing Details

Accession Number:: 0000950103-16-010539
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-01-27 21:23:16
Reporting Period:: 2013-03-07

Filing Date:: 2016-01-27
Accepted Time:: 2016-01-27 21:23:16
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	Director	Officer	Large Shareholder	Other
1491503	Quan Zhou	Unit 5505, The Centre 99 Queen'S Road, Central K3	No	No	Yes	No
1508829	L.p. Iii Fund Growth China Idg-Accel	Unit 5505, The Centre 99 Queen'S Road, Central K3	No	No	Yes	No
1545806	Sing Chi Ho	Unit 5505, The Centre 99 Queen'S Road, Central K3	No	No	Yes	No
1550192	L.p. Associates Iii Fund Growth China Idg-Accel	Unit 5505, The Centre 99 Queen'S Road, Central K3	No	No	Yes	No
1550193	L.p. Investors Iii China Idg-Accel	Unit 5505, The Centre 99 Queen'S Road, Central K3	No	No	Yes	No
1564281	Ltd. Associates Iii Gp Fund Growth China Idg-Accel	Unit 5505, The Centre 99 Queen'S Road, Central K3	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-03-07	972,708	$2.40	5,091,438	No	4	P	Direct
Common Stock	Acquisiton	2013-03-07	68,958	$2.40	360,947	No	4	P	Indirect	See Explanation of Responses

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	See Explanation of Responses

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant	Acquisiton	2013-03-07	486,354	$0.00	486,354	$2.91
Common Stock	Warrant	Acquisiton	2013-03-07	34,479	$0.00	34,479	$2.91

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,298,354	2013-09-04	2016-09-04	No	4	P	Direct
92,044	2013-09-04	2016-09-04	No	4	P	Indirect

Footnotes

These securities are directly owned by IDG-Accel China Growth Fund III L.P. ("IDG-Accel Growth") and may be deemed to be indirectly beneficially owned by the other reporting persons. IDG-Accel China Growth Fund III Associates L.P. ("IDG-Accel Associates") is the general partner of IDG-Accel Growth. IDG-Accel China Growth Fund GP III Associates Ltd. ("IDG-Accel GP") is the general partner of both IDG-Accel Associates and IDG-Accel China III Investors L.P. ("IDG-Accel Investors"). Chi Sing Ho and Quan Zhou are shareholders and directors of IDG-Accel GP. Pursuant to a securities purchase agreement dated as of March 1, 2013 by and among the Issuer and certain investors (the "Purchase Agreement"), IDG-Accel Growth purchased 972,708 shares of common stock and warrants to purchase 486,354 shares of common stock of the Issuer.
These securities are directly owned by IDG-Accel Investors and may be deemed to be indirectly beneficially owned by the other reporting persons. Pursuant to the Purchase Agreement, IDG-Accel Investors purchased 68,958 shares of common stock and warrants to purchase 34,479 shares of common stock of the Issuer.
The shares of common stock and the warrants were issued in units consisting of one share of common stock and a warrant to purchase 0.5 shares of common stock. The purchase price was $2.40 per unit. The filing of this statement by the reporting persons shall not be deemed an admission that such persons are, for purposes of Section 16 of the Securities and Exchange Act of 1934 or otherwise, the beneficial owner of any equity securities covered by this statement.