0000899243-17-002201.txt : 20170130 0000899243-17-002201.hdr.sgml : 20170130 20170130190137 ACCESSION NUMBER: 0000899243-17-002201 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170125 FILED AS OF DATE: 20170130 DATE AS OF CHANGE: 20170130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PIERIS PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001583648 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 300784346 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 255 STATE STREET STREET 2: 9TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 857-246-8998 MAIL ADDRESS: STREET 1: 255 STATE STREET STREET 2: 9TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: Marika Inc. DATE OF NAME CHANGE: 20130805 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Khuong Chau Quang CENTRAL INDEX KEY: 0001609405 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37471 FILM NUMBER: 17558888 MAIL ADDRESS: STREET 1: C/O ORBIMED ADVISORS STREET 2: 601 LEXINGTON AVENUE, 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-01-25 0 0001583648 PIERIS PHARMACEUTICALS, INC. PIRS 0001609405 Khuong Chau Quang C/O PIERIS PHARMACEUTICALS, INC. 255 STATE STREET, 9TH FLOOR BOSTON MA 02109 1 0 1 0 Stock Option (right to buy) 2.01 2017-01-25 4 A 0 10313 0.00 A 2017-01-25 2027-01-25 Common Stock 10313 10313 D Stock Option (right to buy) 2.01 2017-01-25 4 A 0 20000 0.00 A 2027-01-25 Common Stock 20000 20000 D The Reporting Person is an employee of OrbiMed Advisors LLC ("Advisors") and is obligated to transfer any shares issued under equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors for the ultimate benefit of OrbiMed Private Investments III, LP and OrbiMed Associates III, LP. The option award was issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan. The stock option will vest in four equal installments on each of March 31, June 30, September 30, and December 31, 2017. /s/ Marc D. Mantell, Attorney-in-fact 2017-01-30