0001209191-14-076459.txt : 20141217 0001209191-14-076459.hdr.sgml : 20141217 20141217205411 ACCESSION NUMBER: 0001209191-14-076459 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141217 FILED AS OF DATE: 20141217 DATE AS OF CHANGE: 20141217 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BELLICUM PHARMACEUTICALS, INC CENTRAL INDEX KEY: 0001358403 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 2130 WEST HOLCOMBE BOULEVARD STREET 2: SUITE 850 CITY: HOUSTON STATE: TX ZIP: 77030 BUSINESS PHONE: (832) 384-1100 MAIL ADDRESS: STREET 1: 2130 WEST HOLCOMBE BOULEVARD STREET 2: SUITE 850 CITY: HOUSTON STATE: TX ZIP: 77030 FORMER COMPANY: FORMER CONFORMED NAME: BELLICUM PHARMACEUTICALS INC DATE OF NAME CHANGE: 20060405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spencer David M. CENTRAL INDEX KEY: 0001627362 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36783 FILM NUMBER: 141294036 MAIL ADDRESS: STREET 1: C/O BELLICUM PHARMACEUTICALS, INC. STREET 2: 2130 W. HOLCOMBE BLVD., STE. 800 CITY: HOUSTON STATE: TX ZIP: 77030 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2014-12-17 0 0001358403 BELLICUM PHARMACEUTICALS, INC BLCM 0001627362 Spencer David M. C/O BELLICUM PHARMACEUTICALS, INC. 2130 W. HOLCOMBE BLVD., STE. 800 HOUSTON TX 77030 0 1 0 0 Chief Scientific Officer Common Stock 155529 D Stock Option (right to buy) 2.55 2021-11-27 Common Stock 147058 D Stock Option (right to buy) 7.47 2024-11-10 Common Stock 73529 D Series C Convertible Preferred Stock Common Stock 27225 D The shares subject to the stock option vest and become exercisable in 48 monthly installments. 25% of the shares subject to the stock option vest and become exercisable on November 11, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. The Preferred Stock is convertible at any time. The Series C Convertible Preferred Stock ("Preferred Stock") is convertible into the Issuer's common stock at a conversion rate of 1 share of common stock for each 1.7 shares of Preferred Stock and has no expiration date. /s/ David M. Spencer, Ph.D. 2014-12-17 EX-24.3_550263 2 poa.txt POA DOCUMENT LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS POWER OF ATTORNEY Know all, by these presents, that the undersigned hereby constitutes and appoints each of Ken Moseley and Alan Musso, signing individually, the undersigned's true and lawful attorneys-in fact and agents to: (1) execute for and on behalf of the undersigned, an officer, director or holder of 10% of more of a registered class of securities of Bellicum Pharmaceuticals, Inc. (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and the rules thereunder; (2) do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute such Form 3, 4 or 5, complete and execute any amendment or amendments thereto, and timely file such forms or amendments with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any nature whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act. This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact or (c) as to any attorney-in-fact individually, until such attorney-in-fact shall no longer be employed by the Company. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 24th day of November, 2014. /s/ David M. Spencer (Signature) David M. Spencer, Ph.D. (Print Name)