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Home/Filings/4/0000950103-16-010539
4//SEC Filing

CASI Pharmaceuticals, Inc. 4

Accession 0000950103-16-010539

CIK 0000895051operating
View on SEC.govCompany Profile

Filed

Jan 26, 7:00 PM ET

Accepted

Jan 27, 9:23 PM ET

Size

21.6 KB

Accession

0000950103-16-010539

Insider Transaction Report

Form 4
Period: 2013-03-07
CASI Pharmaceuticals, Inc.CASI
IDG-Accel China Growth Fund III Associates L.P.
10% Owner
Transactions
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+972,708$2,334,499→ 5,091,438 total
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+68,958$165,499→ 360,947 total(indirect: See Explanation of Responses)
  • Purchase

    Warrant

    2013-03-07+34,479→ 92,044 total(indirect: See Explanation of Responses)
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (34,479 underlying)
  • Purchase

    Warrant

    2013-03-07+486,354→ 1,298,354 total
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (486,354 underlying)
Ho Chi Sing
10% Owner
Transactions
  • Purchase

    Warrant

    2013-03-07+34,479→ 92,044 total(indirect: See Explanation of Responses)
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (34,479 underlying)
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+68,958$165,499→ 360,947 total(indirect: See Explanation of Responses)
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+972,708$2,334,499→ 5,091,438 total
  • Purchase

    Warrant

    2013-03-07+486,354→ 1,298,354 total
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (486,354 underlying)
Zhou Quan
Director10% Owner
Transactions
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+972,708$2,334,499→ 5,091,438 total
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+68,958$165,499→ 360,947 total(indirect: See Explanation of Responses)
  • Purchase

    Warrant

    2013-03-07+34,479→ 92,044 total(indirect: See Explanation of Responses)
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (34,479 underlying)
  • Purchase

    Warrant

    2013-03-07+486,354→ 1,298,354 total
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (486,354 underlying)
IDG-Accel China Growth Fund GP III Associates Ltd.
10% Owner
Transactions
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+972,708$2,334,499→ 5,091,438 total
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+68,958$165,499→ 360,947 total(indirect: See Explanation of Responses)
  • Purchase

    Warrant

    2013-03-07+34,479→ 92,044 total(indirect: See Explanation of Responses)
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (34,479 underlying)
  • Purchase

    Warrant

    2013-03-07+486,354→ 1,298,354 total
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (486,354 underlying)
IDG-Accel China Growth Fund III L.P.
10% Owner
Transactions
  • Purchase

    Warrant

    2013-03-07+34,479→ 92,044 total(indirect: See Explanation of Responses)
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (34,479 underlying)
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+972,708$2,334,499→ 5,091,438 total
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+68,958$165,499→ 360,947 total(indirect: See Explanation of Responses)
  • Purchase

    Warrant

    2013-03-07+486,354→ 1,298,354 total
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (486,354 underlying)
IDG-Accel China III Investors L.P.
10% Owner
Transactions
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+68,958$165,499→ 360,947 total(indirect: See Explanation of Responses)
  • Purchase

    Warrant

    2013-03-07+486,354→ 1,298,354 total
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (486,354 underlying)
  • Purchase

    Common Stock

    2013-03-07$2.40/sh+972,708$2,334,499→ 5,091,438 total
  • Purchase

    Warrant

    2013-03-07+34,479→ 92,044 total(indirect: See Explanation of Responses)
    Exercise: $2.91From: 2013-09-04Exp: 2016-09-04→ Common Stock (34,479 underlying)
Footnotes (3)
  • [F1]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.
  • [F2]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.
  • [F3]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.

Documents

1 file

Issuer

CASI Pharmaceuticals, Inc.

CIK 0000895051

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0000895051

Filing Metadata

Form type
4
Filed
Jan 26, 7:00 PM ET
Accepted
Jan 27, 9:23 PM ET
Size
21.6 KB
View on SEC.gov