0001062993-23-022590.txt : 20231214 0001062993-23-022590.hdr.sgml : 20231214 20231214180532 ACCESSION NUMBER: 0001062993-23-022590 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231212 FILED AS OF DATE: 20231214 DATE AS OF CHANGE: 20231214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dalvey David CENTRAL INDEX KEY: 0001296457 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38207 FILM NUMBER: 231488257 MAIL ADDRESS: STREET 1: C/O BLUE ROCK ADVISORS, INC. STREET 2: 80 SOUTH EIGHTH STREET SUITE 3915 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Celcuity Inc. CENTRAL INDEX KEY: 0001603454 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 16305 36TH AVENUE N STREET 2: SUITE 100 CITY: MINNEAPOLIS STATE: MN ZIP: 55446 BUSINESS PHONE: 763-392-0767 MAIL ADDRESS: STREET 1: 16305 36TH AVENUE N STREET 2: SUITE 100 CITY: MINNEAPOLIS STATE: MN ZIP: 55446 FORMER COMPANY: FORMER CONFORMED NAME: Celcuity LLC DATE OF NAME CHANGE: 20140324 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2023-12-12 0001603454 Celcuity Inc. CELC 0001296457 Dalvey David 16305 36TH AVENUE NORTH SUITE 100 MINNEAPOLIS MN 55446 1 0 0 0 0 Common Stock 2023-12-12 4 S 0 2060 14.6064 D 237940 I By Brightstone Venture Capital Fund, LP Common Stock 2023-12-13 4 S 0 5000 14.50 D 232940 I By Brightstone Venture Capital Fund, LP Common Stock 9325 D Stock Option (right to buy) 5.50 2027-10-19 Common Stock 8200 8200 D Stock Option (right to buy) 5.50 2028-05-14 Common Stock 3201 3201 D Stock Option (right to buy) 5.50 2029-05-16 Common Stock 5054 5054 D Stock Option (right to buy) 5.1000 2030-05-14 Common Stock 12654 12654 D Stock Option (right to buy) 5.50 2031-05-12 Common Stock 2310 2310 D Stock Option (right to buy) 5.50 2032-05-17 Common Stock 24449 24449 D Stock Option (right to buy) 9.58 2033-05-15 Common Stock 11645 11645 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.60 to $14.66, inclusive. The reporting person undertakes to provide Celcuity Inc., any security holder of Celcuity Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The Reporting Person is the General Partner of Brightstone Venture Capital Fund, LP. 100% vested. This Option will vest and become exercisable on April 30, 2024, or if earlier, the date of the Company's 2024 Annual Meeting of Stockholders. /s/ Eric O. Madson as Attorney-in-Fact for David F. Dalvey pursuant to Power of Attorney previously filed. 2023-12-14