0001437749-22-013128.txt : 20220519 0001437749-22-013128.hdr.sgml : 20220519 20220519203910 ACCESSION NUMBER: 0001437749-22-013128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220517 FILED AS OF DATE: 20220519 DATE AS OF CHANGE: 20220519 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hahne Vicky CENTRAL INDEX KEY: 0001716043 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38207 FILM NUMBER: 22945002 MAIL ADDRESS: STREET 1: C/O CELCUITY, 16305 36TH AVENUE N. STREET 2: #450 CITY: MINNEAPOLIS STATE: MN ZIP: 55446 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 rdgdoc.xml FORM 4 X0306 4 2022-05-17 0001603454 Celcuity Inc. CELC 0001716043 Hahne Vicky 16305 36TH AVENUE N. SUITE 100 MINNEAPOLIS MN 55446 1 Chief Financial Officer Common Stock 12903 D Stock Option (right to buy) 8.4000 2027-05-17 Common Stock 37500 37500 D Stock Option (right to buy) 23.48 2022-05-17 4 D 0 3000 D 2028-07-05 Common Stock 3000 0 D Stock Option (right to buy) 5.50 2022-05-17 4 A 0 3000 A 2028-07-05 Common Stock 3000 3000 D Stock Option (right to buy) 25.77 2022-05-17 4 D 0 932 D 2028-10-17 Common Stock 932 0 D Stock Option (right to buy) 5.50 2022-05-17 4 A 0 932 A 2028-10-17 Common Stock 932 932 D Stock Option (right to buy) 19.72 2022-05-17 4 D 0 3000 D 2029-08-12 Common Stock 3000 0 D Stock Option (right to buy) 5.50 2022-05-17 4 A 0 3000 A 2029-08-12 Common Stock 3000 3000 D Stock Option (right to buy) 5.9000 2030-08-12 Common Stock 10000 10000 D Stock Option (right to buy) 10.35 2022-05-17 4 D 0 1122 D 2030-12-28 Common Stock 1122 0 D Stock Option (right to buy) 5.50 2022-05-17 4 A 0 1122 A 2030-12-28 Common Stock 1122 1122 D Stock Option (right to buy) 14.84 2022-05-17 4 D 0 1301 D 2031-02-02 Common Stock 1301 0 D Stock Option (right to buy) 5.50 2022-05-17 4 A 0 1301 A 2031-02-02 Common Stock 1301 1301 D Stock Option (right to buy) 15.92 2022-05-17 4 D 0 1204 D 2031-03-18 Common Stock 1204 0 D Stock Option (right to buy) 5.50 2022-05-17 4 A 0 1204 A 2031-03-18 Common Stock 1204 1204 D Stock Option (right to buy) 27.94 2022-05-17 4 D 0 3806 D 2031-04-12 Common Stock 3806 0 D Stock Option (right to buy) 5.50 2022-05-17 4 A 0 3806 A 2031-04-12 Common Stock 3806 3806 D Stock Option (right to buy) 20.04 2022-05-17 4 D 0 15000 D 2031-08-11 Common Stock 15000 0 D Stock Option (right to buy) 5.50 2022-05-17 4 A 0 15000 A 2031-08-11 Common Stock 15000 15000 D Stock Option (right to buy) 17.19 2022-05-17 4 D 0 821 D 2031-10-27 Common Stock 821 0 D Stock Option (right to buy) 5.50 2022-05-17 4 A 0 821 A 2031-10-27 Common Stock 821 821 D Stock Option (Right to Buy) 5.50 2022-05-17 4 A 0 31930 0 A 2032-05-17 Common Stock 31930 31930 D Includes 1,972 shares acquired on October 29, 2021 and 2,000 shares acquired on April 30, 2022 pursuant to the Issuer's Employee Stock Purchase Plan. Fully vested. 750 shares vest on 7/5/19; the remaining 2,250 shares vest 1/36th per month thereafter. 233 shares vest on 10/17/19; the remaining 699 shares vest 1/36th per month thereafter. 750 shares vest on 8/12/20; the remaining 2,250 shares vest 1/36th per month thereafter. 2,500 shares vest on 8/12/21; the remaining 7,500 shares vest 1/36th per month thereafter. 280 shares vest on 12/29/21; the remaining 842 shares vest 1/36th per month thereafter. 325 shares vest on 2/2/22; the remaining 976 shares vest 1/36th per month thereafter. 301 shares vest on 3/18/22; the remaining 903 shares vest 1/36th per month thereafter. 952 shares vest on 4/12/22; the remaining 2,854 shares vest 1/36th per month thereafter. 3,750 shares vest on 8/11/22; the remaining 11,250 shares vest 1/36th per month thereafter. 205 shares vest on 10/27/22; the remaining 616 shares vest 1/36th per month thereafter. These shares vest in equal amounts over fourteen (14) months, beginning June 1, 2022. The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option. /s/ Eric O. Madson as Attorney-in-Fact for Vicky Hahne pursuant to Power of Attorney previously filed. 2022-05-19