0001104659-18-033271.txt : 20180515 0001104659-18-033271.hdr.sgml : 20180515 20180515091738 ACCESSION NUMBER: 0001104659-18-033271 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180412 FILED AS OF DATE: 20180515 DATE AS OF CHANGE: 20180515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENBERG MORRIS CENTRAL INDEX KEY: 0001202786 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12104 FILM NUMBER: 18833491 MAIL ADDRESS: STREET 1: C/O SAETTLE GENETICS INC STREET 2: 21823 30TH DRIVE SE CITY: BOTHELL STATE: WA ZIP: 98021 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IMMUNOMEDICS INC CENTRAL INDEX KEY: 0000722830 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 611009366 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 300 AMERICAN RD CITY: MORRIS PLAINS STATE: NJ ZIP: 07950 BUSINESS PHONE: 9736058200 MAIL ADDRESS: STREET 1: 300 AMERICAN ROAD CITY: MORRIS PLAINS STATE: NJ ZIP: 07950 3 1 a3.xml 3 X0206 3 2018-04-12 0 0000722830 IMMUNOMEDICS INC IMMU 0001202786 ROSENBERG MORRIS C/O IMMUNOMEDICS, INC 300 THE AMERICAN ROAD MORRIS PLAINS NJ 07950 0 1 0 0 See Remarks Stock Options (right to buy) 8.70 2024-06-29 Common Stock, par value $0.01 per share 22500 D Stock Options (right to buy) 15.68 2025-01-08 Common Stock, par value $0.01 per share 27027 D Stock Options (right to buy) 15.68 2025-01-08 Common Stock, par value $0.01 per share 77362 D The reporting person was granted performance-based vesting stock options pursuant to the Company's 2014 Long-Term Incentive Plan. The stock options will vest (i) 1/3 on the first anniversary of the grant date, (ii) 1/3 on the successful filing and acceptance by the FDA for accelerated approval of the BLA for TNBC and (iii) 1/3 on the approval by the FDA of the BLA for TNBC. The reporting person was granted stock options pursuant to the Company's 2014 Long-Term Incentive Plan. The stock options vest 25% on the first anniversary of the date of grant and 2.08333% on a monthly basis thereafter. The reporting person was granted performance-based vesting stock options pursuant to the Company's 2014 Long-Term Incentive Plan. The stock options will vest (i) as to 38,866 shares (a) 25% on the first anniversary of the date of grant and 2.08333% on a monthly basis thereafter through the fourth anniversary of the date of grant (each date a "Vesting Date") and (b) subject to Immunomedics, Inc. common stock achieving a fair market value of $31.36 or higher based on the average closing price for the prior 15 consecutive trading days on such Vesting Date; and (ii) as to 38,496 shares (a) 25% on the first anniversary of the date of grant and 2.08333% on a monthly basis thereafter through the fourth anniversary of the date of grant and (b) subject to Immunomedics, Inc. common stock achieving a fair market value of $47.04 or higher based on the average closing price for the prior 15 consecutive trading days on such Vesting Date. If the performance-based vesting criteria of the stock options is not attained on an applicable Vesting Date, and to the extent such performance-based vesting criteria is subsequently attained, the applicable tranche of stock options may vest on the date such criteria is met. Mr. Rosenberg is the Issuer's Chief Technology Officer. The Issuer's Board of Directors identified Mr. Rosenberg as a Section 16 Reporting Person on April 12, 2018. /s/ Morris Rosenberg 2018-05-15