0000921895-19-001579.txt : 20190520 0000921895-19-001579.hdr.sgml : 20190520 20190520202724 ACCESSION NUMBER: 0000921895-19-001579 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190516 FILED AS OF DATE: 20190520 DATE AS OF CHANGE: 20190520 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERRY MATTHEW D CENTRAL INDEX KEY: 0001454337 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28386 FILM NUMBER: 19840583 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: 30TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94104 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: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3101 WESTERN AVENUE STREET 2: SUITE 800 CITY: SEATTLE STATE: WA ZIP: 98121 BUSINESS PHONE: 2062827100 MAIL ADDRESS: STREET 1: 3101 WESTERN AVENUE STREET 2: SUITE 800 CITY: SEATTLE STATE: WA ZIP: 98121 FORMER COMPANY: FORMER CONFORMED NAME: CELL THERAPEUTICS INC DATE OF NAME CHANGE: 19960321 4 1 form407422010_05202019.xml OWNERSHIP DOCUMENT X0306 4 2019-05-16 0 0000891293 CTI BIOPHARMA CORP CTI 0001454337 PERRY MATTHEW D 44 MONTGOMERY STREET 40TH FLOOR SAN FRANCISCO CA 94104 1 0 0 1 See Explanation of Responses Common Stock 43139 D Non-Qualified Stock Option (Right to Buy) 0.8411 2019-05-16 4 A 0 120000 0 A 2029-05-16 Common Stock 120000 120000 D Non-Qualified Stock Option (Right to Buy) 4.61 2028-05-17 Common Stock 60000 60000 D Stock Option (Right to Buy) 4.25 2027-02-22 Common Stock 50000 50000 D The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. The option will vest on the first to occur of (i) the date that is twelve months after the date of grant, and (ii) immediately prior to the first annual meeting of the Company's stockholders in 2020 at which one or more members of the Company's Board of Directors are to be elected, subject to the Reporting Person's continued service through such date or event. This stock option was granted on May 17, 2018 and vested on the first to occur of (i) the date that was twelve months after the date of grant, and (ii) immediately prior to the first annual meeting of the Company's stockholders in 2019 at which one or more members of the Company's Board of Directors are to be elected, subject to the Reporting Person's continued service through such date or event. This stock option was granted on February 23, 2017, and vested on the first to occur of (i) the date that was twelve months after the date of grant, (ii) the first annual meeting of CTIC's shareholders in 2018 at which one or more members of the CTIC Board of Directors was elected, or (iii) immediately prior to the occurrence of a Change of Control (as such term is defined in CTIC's 2015 Equity Incentive Plan). /s/ Matthew D. Perry 2019-05-20