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Filing Details

Accession Number:
0001104659-20-064841
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-05-21 17:01:53
Reporting Period:
2020-05-19
Accepted Time:
2020-05-21 17:01:53
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 2020-05-19 29,801 $2.03 1,827,663 No 4 P Direct
Common Stock Acquisiton 2020-05-20 56,464 $2.37 1,884,097 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 6,332,347 Indirect See Footnote
Common Stock 441,072 Indirect See Footnote
Footnotes
  1. The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $1.97 to $2.04 per share on May 19, 2020 and $2.35 to $2.38 per share on May 20, 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.
  2. 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.
  3. The shares are held indirectly in the name of Emerging Technology Partners, LLC, an LLC entity of which the Reporting 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.