0001062993-24-009051.txt : 20240430
0001062993-24-009051.hdr.sgml : 20240430
20240430161858
ACCESSION NUMBER: 0001062993-24-009051
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20240426
FILED AS OF DATE: 20240430
DATE AS OF CHANGE: 20240430
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sullivan Brian F.
CENTRAL INDEX KEY: 0000940454
ORGANIZATION NAME:
STATE OF INCORPORATION: MN
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38207
FILM NUMBER: 24897554
MAIL ADDRESS:
STREET 1: 16305 36TH AVENUE N
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55446
FORMER NAME:
FORMER CONFORMED NAME: SULLIVAN BRIAN F
DATE OF NAME CHANGE: 19950307
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Celcuity Inc.
CENTRAL INDEX KEY: 0001603454
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071]
ORGANIZATION NAME: 08 Industrial Applications and Services
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 16305 36TH AVENUE N
STREET 2: SUITE 100
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55446
BUSINESS PHONE: 763-392-0767
MAIL ADDRESS:
STREET 1: 16305 36TH AVENUE N
STREET 2: SUITE 100
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55446
FORMER COMPANY:
FORMER CONFORMED NAME: Celcuity LLC
DATE OF NAME CHANGE: 20140324
4
1
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0508
4
2024-04-26
0001603454
Celcuity Inc.
CELC
0000940454
Sullivan Brian F.
16305 36TH AVENUE NORTH
SUITE 100
MINNEAPOLIS
MN
55446
1
1
1
0
Chief Executive Officer
0
Common Stock
2024-04-26
4
G
0
45025
0
D
1153271
D
Common Stock
189103
I
By Spouse
Common Stock
2024-04-26
4
G
0
45025
0
A
908372
I
By Family Trust #1
Common Stock
765897
I
By Family Trust #2
Stock Option (right to buy)
8.4000
2027-05-17
Common Stock
21500
21500
D
Stock Option (right to buy)
5.50
2027-09-19
Common Stock
8220
8220
D
Stock Option (right to buy)
5.50
2028-08-13
Common Stock
3769
3769
D
Stock Option (right to buy)
5.50
2028-10-17
Common Stock
14675
14675
D
Stock Option (right to buy)
5.50
2029-08-12
Common Stock
50000
50000
D
Stock Option (right to buy)
5.50
2029-08-12
Common Stock
4985
4985
D
Stock Option (right to buy)
5.9000
2030-08-12
Common Stock
20000
20000
D
Stock Option (right to buy)
5.9000
2030-08-12
Common Stock
17281
17281
D
Stock Option (right to buy)
5.50
2030-12-28
Common Stock
11081
11081
D
Stock Option (right to buy)
5.50
2031-02-02
Common Stock
12859
12859
D
Stock Option (right to buy)
5.50
2031-03-18
Common Stock
11889
11889
D
Stock Option (right to buy)
5.50
2031-04-12
Common Stock
13509
13509
D
Stock Option (right to buy)
5.50
2031-08-11
Common Stock
17000
17000
D
Stock Option (right to buy)
5.50
2031-08-11
Common Stock
20000
20000
D
Stock Option (right to buy)
5.50
2031-10-27
Common Stock
6569
6569
D
Stock Option (right to buy)
5.50
2032-05-17
Common Stock
250000
250000
D
Warrants (right to buy)
8.05
2027-12-09
Common Stock
104340
104340
D
Stock Option (right to buy)
11.55
2033-02-16
Common Stock
69760
69760
D
Stock Option (right to buy)
9.89
2033-08-25
Common Stock
180000
180000
D
Stock Option (right to buy)
14.78
2034-01-02
Common Stock
84000
84000
D
The Reporting Person holds all voting and dispositive power with respect to the securities held by the trusts and is the beneficial owner of these securities.
Fully vested.
5,000 shares vest on 8/12/21; the remaining 15,000 shares vest 1/36th per month thereafter.
2,770 shares vest on 12/29/21; the remaining 8,311 shares vest 1/36th per month thereafter.
3,214 shares vest on 2/2/22; the remaining 9,645 shares vest 1/36th per month thereafter.
2,972 shares vest on 3/18/22; the remaining 8,917 shares vest 1/36th per month thereafter.
3,377 shares vest on 4/12/22; the remaining 10,132 shares vest 1/36th per month thereafter.
5,000 shares vest on 8/11/22; the remaining 15,000 shares vest 1/36th per month thereafter.
1,642 shares vest on 10/27/22; the remaining 4,927 shares vest 1/36th per month thereafter.
45,000 shares vest on 8/25/24; the remaining 135,000 shares vest 1/36th per month thereafter.
21,000 shares vest on 8/25/24; the remaining 63,000 shares vest 1/36th per month thereafter.
/s/ Liz Dunshee as Attorney-in-Fact for Brian F. Sullivan pursuant to Power of Attorney filed herewith.
2024-04-30
EX-24
2
exhibit24.txt
POA
POWER OF ATTORNEY
The undersigned hereby constitutes and appoints Vicky Hahne,
Eric O. Madson, Edward Peilen, Liz Dunshee or Emily Moss, or either of
them acting alone, the undersigned's true and lawful attorney-in-fact
and agent with full power of substitution and resubstitution, for the
undersigned and in the undersigned's name, place and stead, in any and
all capacities, to sign any or all Forms 3, 4 and 5 relating to
beneficial ownership of securities of Celcuity Inc. (the "Issuer"), to
file the same, with all exhibits thereto and other documents in
connection therewith, with the Securities and Exchange Commission and
to deliver a copy of the same to the Issuer, granting unto said
attorney-in-fact and agent full power and authority to do and perform
each and every act and thing requisite and necessary to be done in and
about the premises, as fully to all intents and purposes as the
undersigned might or could do in person, hereby ratifying and
confirming all said attorneys-in-fact and agent, or his substitute or
substitutes, may lawfully do or cause to be done by virtue thereof.
The undersigned acknowledges that the foregoing attorney-in-fact, in
serving in such capacity at the request of the undersigned, is not
assuming any of the undersigned's responsibilities to comply with
Section 16 of the Securities Exchange Act of 1934.
This Power of Attorney shall remain in effect until such time as
the undersigned is no longer subject to the provisions of Section 16 of
the Securities Exchange Act of 1934 with respect to securities of the
Issuer.
IN WITNESS WHEREOF, the undersigned has caused this Power of
Attorney to be executed as of this 31st day of January, 2024.
/s/ Brian F. Sullivan
Brian F. Sullivan