Home/Filings/4/0000950103-18-013358

4//SEC Filing

SPARKLE BYTE LTD 4

Accession 0000950103-18-013358

CIK 0000895051other

View on SEC.gov Company Profile

Filed

Nov 13, 7:00 PM ET

Accepted

Nov 14, 6:04 AM ET

Size

21.7 KB

Accession

0000950103-18-013358

Insider Transaction Report

Form 4

Period: 2018-11-13

CASI Pharmaceuticals, Inc.CASI

SPARKLE BYTE LTD

10% Owner

Transactions

Exercise of In-Money
Warrant
2018-11-13$0.13/sh−750,771$93,846→ 0 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Exercise of In-Money
Common Stock
2018-11-13$1.69/sh+1,699,753$2,872,583→ 10,198,518 total
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−948,982$118,623→ 0 total
Exercise: $1.69From: 2016-04-15Exp: 2019-04-15→ Common Stock (948,982 underlying)

TIANJIN JINGRAN MANAGEMENT CENTER (LIMITED PARTNERSHIP)

10% Owner

Transactions

Exercise of In-Money
Warrant
2018-11-13$0.13/sh−948,982$118,623→ 0 total
Exercise: $1.69From: 2016-04-15Exp: 2019-04-15→ Common Stock (948,982 underlying)
Exercise of In-Money
Common Stock
2018-11-13$1.69/sh+1,699,753$2,872,583→ 10,198,518 total
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−750,771$93,846→ 0 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)

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

10% Owner

Transactions

Exercise of In-Money
Common Stock
2018-11-13$1.69/sh+1,699,753$2,872,583→ 10,198,518 total
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−948,982$118,623→ 0 total
Exercise: $1.69From: 2016-04-15Exp: 2019-04-15→ Common Stock (948,982 underlying)
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−750,771$93,846→ 0 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)

Li Jianguang

10% Owner

Transactions

Exercise of In-Money
Warrant
2018-11-13$0.13/sh−750,771$93,846→ 0 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Exercise of In-Money
Common Stock
2018-11-13$1.69/sh+1,699,753$2,872,583→ 10,198,518 total
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−948,982$118,623→ 0 total
Exercise: $1.69From: 2016-04-15Exp: 2019-04-15→ Common Stock (948,982 underlying)

Lin Dongliang

10% Owner

Transactions

Exercise of In-Money
Warrant
2018-11-13$0.13/sh−948,982$118,623→ 0 total
Exercise: $1.69From: 2016-04-15Exp: 2019-04-15→ Common Stock (948,982 underlying)
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−750,771$93,846→ 0 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Exercise of In-Money
Common Stock
2018-11-13$1.69/sh+1,699,753$2,872,583→ 10,198,518 total

SNOW MOON LTD

10% Owner

Transactions

Exercise of In-Money
Warrant
2018-11-13$0.13/sh−948,982$118,623→ 0 total
Exercise: $1.69From: 2016-04-15Exp: 2019-04-15→ Common Stock (948,982 underlying)
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−750,771$93,846→ 0 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)
Exercise of In-Money
Common Stock
2018-11-13$1.69/sh+1,699,753$2,872,583→ 10,198,518 total

Yang Fei

10% Owner

Transactions

Exercise of In-Money
Common Stock
2018-11-13$1.69/sh+1,699,753$2,872,583→ 10,198,518 total
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−948,982$118,623→ 0 total
Exercise: $1.69From: 2016-04-15Exp: 2019-04-15→ Common Stock (948,982 underlying)
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−750,771$93,846→ 0 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)

Shong Hugo

10% Owner

Transactions

Exercise of In-Money
Common Stock
2018-11-13$1.69/sh+1,699,753$2,872,583→ 10,198,518 total
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−948,982$118,623→ 0 total
Exercise: $1.69From: 2016-04-15Exp: 2019-04-15→ Common Stock (948,982 underlying)
Exercise of In-Money
Warrant
2018-11-13$0.13/sh−750,771$93,846→ 0 total
Exercise: $1.69From: 2016-09-23Exp: 2019-09-23→ Common Stock (750,771 underlying)

Footnotes (1)

[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 is the general partner of Tianjin Jingran. Jianguang Li, Dongliang Lin and Hugo Shong are the directors of He Xie Ai Qi. Jianguang Li, Dongliang Lin and Fei Yang hold 12.5%, 43.75% and 43.75% of the equity interest of He Xie Ai Qi, respectively. 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
dp98329_4-sparkle.xmlPrimary

Issuer

CASI Pharmaceuticals, Inc.

CIK 0000895051

→

Entity typeother

IncorporatedVirgin Islands, British

Related Parties

filerCIK 0001663831

Filing Metadata

Form type: 4
Filed: Nov 13, 7:00 PM ET
Accepted: Nov 14, 6:04 AM ET
Size: 21.7 KB

View on SEC.gov