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