Filing Details
- Accession Number:
- 0001390478-16-000111
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-06-07 18:36:24
- Reporting Period:
- 2016-06-01
- Filing Date:
- 2016-06-07
- Accepted Time:
- 2016-06-07 18:36:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1390478 | Galena Biopharma Inc. | GALE | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1554742 | Ryan Dunlap | C/O Galena Biopharma, Inc. 2000 Crow Canyon Pl., Suite 380 San Ramon CA 94583 | Former Chief Financial Officer | No | Yes | 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 | 2016-06-01 | 31,250 | $1.75 | 49,952 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-06-01 | 65,625 | $1.85 | 115,577 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-06-01 | 30,000 | $1.71 | 145,577 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-06-01 | 126,875 | $2.18 | 18,702 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2016-06-01 | 31,250 | $0.00 | 31,250 | $1.75 |
| Common Stock | Stock Option | Disposition | 2016-06-01 | 65,625 | $0.00 | 65,625 | $1.85 |
| Common Stock | Stock Option | Disposition | 2016-06-01 | 30,000 | $0.00 | 30,000 | $1.71 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 95,625 | No | 4 | M | Direct | ||
| 30,000 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct |
Footnotes
- The Price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.16 to $2.22 per share. The reporting person undertakes the provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The trades settled on June 6, 2016.
- The option vests on a quarterly basis over four years, commencing on the last day of the quarter after the date of grant (1/15/15).
- This stock option was subject to cancellation on June 29, 2016, which was 90 days after the Reporting person's consulting agreement ended with the Issuer.
- The option vests on a quarterly basis over four years, commencing on the last day of the quarter after the date of grant (7/9/12).
- The option vests on a quarterly basis over four years, commencing on the last day of the quarter after the date of grant (1/29/13).
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