0000899243-17-008320.txt : 20170321
0000899243-17-008320.hdr.sgml : 20170321
20170321190906
ACCESSION NUMBER: 0000899243-17-008320
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170320
FILED AS OF DATE: 20170321
DATE AS OF CHANGE: 20170321
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CTI BIOPHARMA CORP
CENTRAL INDEX KEY: 0000891293
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 911533912
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3101 WESTERN AVENUE
STREET 2: SUITE 600
CITY: SEATTLE
STATE: WA
ZIP: 98121
BUSINESS PHONE: 2062827100
MAIL ADDRESS:
STREET 1: 3101 WESTERN AVENUE
STREET 2: SUITE 600
CITY: SEATTLE
STATE: WA
ZIP: 98121
FORMER COMPANY:
FORMER CONFORMED NAME: CELL THERAPEUTICS INC
DATE OF NAME CHANGE: 19960321
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Craig Adam R
CENTRAL INDEX KEY: 0001339498
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-28386
FILM NUMBER: 17705270
MAIL ADDRESS:
STREET 1: C/O INNOVIVE PHARMACEUTICALS, INC.
STREET 2: 555 MADISON AVENUE, 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-03-20
0
0000891293
CTI BIOPHARMA CORP
CTIC
0001339498
Craig Adam R
C/O CTI BIOPHARMA CORP.
3101 WESTERN AVE., SUITE 600
SEATTLE
WA
98121
1
1
0
0
See Remarks
Stock Option (Right to Buy)
4.24
2017-03-20
4
A
0
1200000
0.00
A
2027-03-19
Common Stock
1200000
1200000
D
The stock options will vest in six equal semi-annual installments over a three-year period beginning March 20, 2017, subject to Dr. Craig's continued employment by CTIC through the applicable vesting dates. The options will fully vest, to the extent then outstanding and unvested, if either (i) Dr. Craig's employment is terminated by CTIC without "Cause" or by him for "Good Reason" following a change in control of CTIC or (ii) Dr. Craig's employment is terminated due to his death or "Disability" (as such terms are defined in Dr. Craig's Employment Agreement). Of the total award, stock options covering 80,000 shares were granted under CTIC's 2015 Equity Incentive Plan and the balance were granted on a stand-alone basis (not under CTIC's 2015 Equity Incentive Plan) in accordance with NASDAQ Listing Rule 5635(c)(4).
Chief Executive Officer and President
/s/ Bruce J. Seeley, Attorney-in-fact for Adam R. Craig
2017-03-21