0001437749-22-012833.txt : 20220517 0001437749-22-012833.hdr.sgml : 20220517 20220517171124 ACCESSION NUMBER: 0001437749-22-012833 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220515 FILED AS OF DATE: 20220517 DATE AS OF CHANGE: 20220517 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sullivan Brian F. CENTRAL INDEX KEY: 0000940454 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38207 FILM NUMBER: 22935733 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] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE 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 rdgdoc.xml FORM 4 X0306 4 2022-05-15 0001603454 Celcuity Inc. CELC 0000940454 Sullivan Brian F. 16305 36TH AVENUE N. SUITE 100 MINNEAPOLIS MN 55446 1 1 1 Chief Executive Officer Common Stock 2755774 D Common Stock (right to buy) 5.75 2022-05-15 4 P 0 260869 0 A Common Stock 260869 260869 D Warrants (right to buy) 80.50 2022-05-15 4 P 0 10434 0 A Series A Preferred Stock 10434 10434 D Stock Option (right to buy) 8.4000 2027-05-17 Common Stock 21500 21500 D Stock Option (right to buy) 9.5000 2027-09-19 Common Stock 8220 8220 D Stock Option (right to buy) 26.0000 2028-08-13 Common Stock 3769 3769 D Stock Option (right to buy) 25.7700 2028-10-17 Common Stock 14675 14675 D Stock Option (right to buy) 19.7200 2029-08-12 Common Stock 50000 50000 D Stock Option (right to buy) 19.7200 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 2021-09-19 2030-08-12 Common Stock 17281 17281 D Stock Option (right to buy) 10.3500 2030-12-28 Common Stock 11081 11081 D Stock Option (right to buy) 14.8400 2031-02-02 Common Stock 12859 12859 D Stock Option (right to buy) 15.9200 2031-03-18 Common Stock 11889 11889 D Stock Option (right to buy) 27.9400 2031-04-12 Common Stock 13509 13509 D Stock Option (right to buy) 20.0400 2022-08-11 2031-08-11 Common Stock 17000 17000 D Stock Option (right to buy) 20.0400 2031-08-11 Common Stock 20000 20000 D Stock Option (right to buy) 17.1900 2031-10-27 Common Stock 6569 6569 D Represents the right to acquire the security pursuant to a securities purchase agreement entered into with the Company on May 15, 2022. Fully vested. 3,668 shares vest on 10/17/19; the remaining 11,007 shares vest 1/36th per month thereafter. 12,500 shares vest on 8/12/20; the remaining 37,500 shares vest 1/36th per month thereafter. 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. /s/ Eric O. Madson as attorney-in-fact for Brian F. Sullivan pursuant to Power of Attorney previously filed. 2022-05-17