Home/Filings/4/0000950103-16-014473

4//SEC Filing

Shong Hugo 4

Accession 0000950103-16-014473

CIK 0000895051other

View on SEC.gov Company Profile

Filed

Jun 28, 8:00 PM ET

Accepted

Jun 29, 9:58 PM ET

Size

21.7 KB

Accession

0000950103-16-014473

Insider Transaction Report

Form 4

Period: 2016-06-24

CASI Pharmaceuticals, Inc.CASI

SNOW MOON LTD

10% Owner

Transactions

Purchase
Warrant
2016-06-24$0.03/sh+750,771$18,769→ 1,699,753 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Purchase
Common Stock
2016-06-24$1.19/sh+3,753,855$4,467,087→ 8,498,765 total

TIANJIN JINGRAN MANAGEMENT CENTER (LIMITED PARTNERSHIP)

10% Owner

Transactions

Purchase
Warrant
2016-06-24$0.03/sh+750,771$18,769→ 1,699,753 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Purchase
Common Stock
2016-06-24$1.19/sh+3,753,855$4,467,087→ 8,498,765 total

HE XIE AI QI INVESTMENT MANAGEMENT (BEIJING) CO., LTD.

10% Owner

Transactions

Purchase
Warrant
2016-06-24$0.03/sh+750,771$18,769→ 1,699,753 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Purchase
Common Stock
2016-06-24$1.19/sh+3,753,855$4,467,087→ 8,498,765 total

Shong Hugo

10% Owner

Transactions

Purchase
Warrant
2016-06-24$0.03/sh+750,771$18,769→ 1,699,753 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Purchase
Common Stock
2016-06-24$1.19/sh+3,753,855$4,467,087→ 8,498,765 total

Lin Dongliang

10% Owner

Transactions

Purchase
Warrant
2016-06-24$0.03/sh+750,771$18,769→ 1,699,753 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Purchase
Common Stock
2016-06-24$1.19/sh+3,753,855$4,467,087→ 8,498,765 total

SPARKLE BYTE LTD

10% Owner

Transactions

Purchase
Warrant
2016-06-24$0.03/sh+750,771$18,769→ 1,699,753 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Purchase
Common Stock
2016-06-24$1.19/sh+3,753,855$4,467,087→ 8,498,765 total

Yang Fei

10% Owner

Transactions

Purchase
Warrant
2016-06-24$0.03/sh+750,771$18,769→ 1,699,753 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Purchase
Common Stock
2016-06-24$1.19/sh+3,753,855$4,467,087→ 8,498,765 total

Zhang Suyang

10% Owner

Transactions

Purchase
Common Stock
2016-06-24$1.19/sh+3,753,855$4,467,087→ 8,498,765 total
Purchase
Warrant
2016-06-24$0.03/sh+750,771$18,769→ 1,699,753 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)

Li Jianguang

10% Owner

Transactions

Purchase
Common Stock
2016-06-24$1.19/sh+3,753,855$4,467,087→ 8,498,765 total
Purchase
Warrant
2016-06-24$0.03/sh+750,771$18,769→ 1,699,753 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)

Footnotes (2)

[F1]These securities are directly owned by Sparkle Byte Limited ("Sparkle Byte") and may be deemed to be indirectly beneficially owned by the other reporting persons. Snow Moon Limited ("Snow Moon") holds 100% of the equity interest of Sparkle Byte. Tianjin Jingran Management Center (Limited Partnership) ("Tianjin Jingran") holds 100% of the equity interest of Snow Moon. He Xie Ai Qi Investment Management (Beijing) Co., Ltd. ("He Xie Ai Qi") is the general partner of Tianjin Jingran. Jianguang Li, Dongliang Lin, Fei Yang and Suyang Zhang each holds 25% of the equity interest of He Xie Ai Qi. Jianguang Li, Dongliang Lin and Hugo Shong are the directors of He Xie Ai Qi. 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.
[F2]The shares of common stock and the warrants were issued in units consisting of one share of common stock and a warrant to purchase 0.2 shares of common stock. The purchase price for one share was $1.190 and the purchase price for a warrant to purchase 0.2 shares of common stock is $0.025.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

4
dp66782_4.xmlPrimary
FORM 4

Issuer

CASI Pharmaceuticals, Inc.

CIK 0000895051

→

Entity typeother

Related Parties

filerCIK 0001664109

Filing Metadata

Form type: 4
Filed: Jun 28, 8:00 PM ET
Accepted: Jun 29, 9:58 PM ET
Size: 21.7 KB

View on SEC.gov