4//SEC Filing
He Wei-Wu 4
Accession 0001104659-21-141867
CIK 0000895051other
Filed
Nov 18, 7:00 PM ET
Accepted
Nov 19, 4:10 PM ET
Size
15.6 KB
Accession
0001104659-21-141867
Insider Transaction Report
Form 4
He Wei-Wu
Director
Transactions
- Purchase
Common Stock
2021-11-17$0.99/sh+200,000$198,000→ 5,362,569 total - Purchase
Common Stock
2021-11-18$0.98/sh+200,000$196,000→ 5,558,472 total
Holdings
- 441,072(indirect: See Footnote)
Common Stock
- 3,000,000(indirect: See Footnote)
Common Stock
- 7,532,347(indirect: See Footnote)
Common Stock
Footnotes (4)
- [F1]The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $0.98 to $1.00 per share on November 17, 2021 and $0.96 to $1.00 per shares on November 18, 2021. 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.
- [F2]The shares are held indirectly in the name of ETP BioHealth III 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.
- [F3]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.
- [F4]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.
Issuer
CASI Pharmaceuticals, Inc.
CIK 0000895051
Entity typeother
Related Parties
1- filerCIK 0001542073
Filing Metadata
- Form type
- 4
- Filed
- Nov 18, 7:00 PM ET
- Accepted
- Nov 19, 4:10 PM ET
- Size
- 15.6 KB