0001144204-19-001739.txt : 20190115 0001144204-19-001739.hdr.sgml : 20190115 20190115160214 ACCESSION NUMBER: 0001144204-19-001739 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190114 FILED AS OF DATE: 20190115 DATE AS OF CHANGE: 20190115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hu Cynthia W. CENTRAL INDEX KEY: 0001364709 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20713 FILM NUMBER: 19527160 MAIL ADDRESS: STREET 1: 6440 WINDERMERE CITY: NORTH BETHESDA STATE: MD ZIP: 20852 FORMER NAME: FORMER CONFORMED NAME: Wong Cynthia DATE OF NAME CHANGE: 20060601 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CASI Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0000895051 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 581959440 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9620 MEDICAL CENTER DR STREET 2: STE 300 CITY: ROCKVILLE STATE: MD ZIP: 20850 BUSINESS PHONE: 240-864-2600 MAIL ADDRESS: STREET 1: 9620 MEDICAL CENTER DR STREET 2: STE 300 CITY: ROCKVILLE STATE: MD ZIP: 20850 FORMER COMPANY: FORMER CONFORMED NAME: ENTREMED INC DATE OF NAME CHANGE: 19960415 4 1 tv511069_4.xml OWNERSHIP DOCUMENT X0306 4 2019-01-14 0 0000895051 CASI Pharmaceuticals, Inc. CASI 0001364709 Hu Cynthia W. CASI PHARMACEUTICALS, INC. 9620 MEDICAL CENTER DRIVE, SUITE 300 ROCKVILLE MD 20850 0 1 0 0 COO, Gen Counsel & Secretary Common Stock 2019-01-14 4 M 0 15000 1.76 A 32785 D Common Stock 2019-01-14 4 F 0 3100 3.79 D 29685 D Common Stock 74982 I Held by Spouse Employee Stock Option (Right to Buy) 1.76 2019-01-14 4 M 0 15000 0 D 2019-01-27 Common Stock 15000 0 D The stock options vested as follows: 25% on the date of grant, and an additional 25% on each successive anniversary of the grant date until the option is fully vested. /s/ Cynthia W. Hu, COO, Gen Counsel and Secretary 2019-01-15