0001705246-20-000002.txt : 20200106 0001705246-20-000002.hdr.sgml : 20200106 20200106170038 ACCESSION NUMBER: 0001705246-20-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200102 FILED AS OF DATE: 20200106 DATE AS OF CHANGE: 20200106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Alan K. CENTRAL INDEX KEY: 0001705246 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36783 FILM NUMBER: 20510640 MAIL ADDRESS: STREET 1: C/O BELLICUM PHARMACEUTICALS, INC. STREET 2: 2130 W. HOLCOMBE BLVD., STE. 800 CITY: HOUSTON STATE: TX ZIP: 77030 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BELLICUM PHARMACEUTICALS, INC CENTRAL INDEX KEY: 0001358403 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 201450200 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2130 WEST HOLCOMBE BOULEVARD STREET 2: SUITE 800 CITY: HOUSTON STATE: TX ZIP: 77030 BUSINESS PHONE: (832) 384-1100 MAIL ADDRESS: STREET 1: 2130 WEST HOLCOMBE BOULEVARD STREET 2: SUITE 800 CITY: HOUSTON STATE: TX ZIP: 77030 FORMER COMPANY: FORMER CONFORMED NAME: BELLICUM PHARMACEUTICALS INC DATE OF NAME CHANGE: 20060405 4 1 wf-form4_157834802099990.xml FORM 4 X0306 4 2020-01-02 0 0001358403 BELLICUM PHARMACEUTICALS, INC BLCM 0001705246 Smith Alan K. C/O BELLICUM PHARMACEUTICALS, INC. 2130 W. HOLCOMBE BLVD., STE. 800 HOUSTON TX 77030 0 1 0 0 EVP, Technical Operations Common Stock 2020-01-02 4 M 0 2344 A 6865 D Common Stock 2020-01-02 4 F 0 883 1.51 D 5982 D Common Stock 2020-01-03 4 M 0 1563 A 7545 D Common Stock 2020-01-03 4 F 0 589 1.40 D 6956 D Restricted Stock Units 2020-01-02 4 M 0 2344 0 D Common Stock 2344.0 4687 D Restricted Stock Units 2020-01-03 4 M 0 1563 0 D Common Stock 1563.0 1562 D Each Restricted Stock Unit (the "RSU") represents a contingent right to receive one share of BLCM common stock. Represents the number of shares withheld by and surrendered to the Issuer on January 2, 2020, to satisfy tax withholding obligations that arose in connection with the vesting of the RSUs granted to the reporting person on January 2, 2018 for 9,375 shares. Represents the number of shares withheld by and surrendered to the Issuer on January 3, 2020, to satisfy tax withholding obligations that arose in connection with the vesting of the RSUs granted to the reporting person on January 3, 2017 for 6,250 shares. On January 2, 2018, the reporting person was granted 9,375 RSUs, of which 2,344 vested on January 2, 2020. The RSUs vest in four annual installments beginning January 2, 2019. On January 3, 2017, the reporting person was granted 6,250 RSUs, of which 1,563 vested on January 3, 2020. The RSUs vest in four annual installments beginning January 3, 2018. /s/ Alan K. Smith, Ph.D. 2020-01-06