Filing Details
- Accession Number:
- 0000891293-23-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-01-03 19:47:50
- Reporting Period:
- 2022-12-29
- Accepted Time:
- 2023-01-03 19:47:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 891293 | Cti Biopharma Corp | CTIC | Pharmaceutical Preparations (2834) | 911533912 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1339498 | R Adam Craig | 3101 Western Avenue Suite 800 Seattle WA 98121 | President And Ceo | Yes | 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 | 2022-12-29 | 13,800 | $0.84 | 41,661 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-12-29 | 13,800 | $6.00 | 27,861 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-12-30 | 1,579 | $5.11 | 29,440 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2022-12-30 | 12,000 | $0.84 | 41,440 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-12-30 | 12,000 | $6.00 | 29,440 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-12-30 | 700 | $0.84 | 30,140 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-12-30 | 700 | $6.01 | 29,440 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-12-30 | 4,400 | $0.84 | 33,840 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-12-30 | 4,400 | $6.01 | 29,440 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-01-03 | 84,683 | $0.84 | 114,123 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-03 | 84,683 | $6.01 | 29,440 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | Non-Qualified Stock Option (right to buy) | Disposition | 2022-12-29 | 13,800 | $0.00 | 13,800 | $0.84 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2022-12-30 | 12,000 | $0.00 | 12,000 | $0.84 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2022-12-30 | 700 | $0.00 | 700 | $0.84 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2022-12-30 | 4,400 | $0.00 | 4,400 | $0.84 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2023-01-03 | 84,683 | $0.00 | 84,683 | $0.84 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 657,154 | 2029-05-16 | No | 4 | M | Direct | |
| 645,154 | 2029-05-16 | No | 4 | M | Direct | |
| 644,454 | 2029-05-16 | No | 4 | M | Direct | |
| 640,054 | 2029-05-16 | No | 4 | M | Direct | |
| 555,371 | 2029-05-16 | No | 4 | M | Direct |
Footnotes
- This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.
- Shares acquired under the CTI BioPharma Corp. 2007 Employee Stock Purchase Plan.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.07, inclusive. The reporting person undertakes to 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.
- One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.
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