0001437749-22-013126.txt : 20220519
0001437749-22-013126.hdr.sgml : 20220519
20220519203650
ACCESSION NUMBER: 0001437749-22-013126
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220517
FILED AS OF DATE: 20220519
DATE AS OF CHANGE: 20220519
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: 22944995
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
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
rdgdoc.xml
FORM 4
X0306
4
2022-05-17
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
Stock Option (right to buy)
8.4000
2027-05-17
Common Stock
21500
21500
D
Stock Option (right to buy)
9.50
2022-05-17
4
D
0
8220
D
2027-09-19
Common Stock
8220
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
8220
A
2027-09-19
Common Stock
8220
8220
D
Stock Option (right to buy)
26
2022-05-17
4
D
0
3769
D
2028-08-13
Common Stock
3769
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
3769
A
2028-08-13
Common Stock
3769
3769
D
Stock Option (right to buy)
25.77
2022-05-17
4
D
0
14675
D
2028-10-17
Common Stock
14675
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
14675
A
2028-08-13
Common Stock
14675
14675
D
Stock Option (right to buy)
19.72
2022-05-17
4
D
0
50000
D
2029-08-12
Common Stock
50000
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
50000
A
2029-08-12
Common Stock
50000
50000
D
Stock Option (right to buy)
19.72
2022-05-17
4
D
0
4985
D
2029-08-12
Common Stock
4985
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
4985
A
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)
10.35
2022-05-17
4
D
0
11081
D
2030-12-28
Common Stock
11081
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
11081
A
2030-12-28
Common Stock
11081
11081
D
Stock Option (right to buy)
14.84
2022-05-17
4
D
0
12859
D
2031-02-02
Common Stock
12859
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
12859
A
2031-02-02
Common Stock
12859
12859
D
Stock Option (right to buy)
15.92
2022-05-17
4
D
0
11889
D
2031-03-18
Common Stock
11889
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
11889
A
2031-03-18
Common Stock
11889
11889
D
Stock Option (right to buy)
27.94
2022-05-17
4
D
0
13509
D
2031-04-12
Common Stock
13509
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
13509
A
2031-04-12
Common Stock
13509
13509
D
Stock Option (right to buy)
20.04
2022-05-17
4
D
0
17000
D
2022-08-11
2031-08-11
Common Stock
17000
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
17000
A
2022-08-11
2031-08-11
Common Stock
17000
17000
D
Stock Option (right to buy)
20.04
2022-05-17
4
D
0
20000
D
2031-08-31
Common Stock
20000
0
D
Stock Option (right to buy)
5.50
2022-05-17
4
A
0
20000
A
2031-08-11
Common Stock
20000
20000
D
Stock Option (right to buy)
17.19
2022-05-17
4
D
0
6569
D
2031-10-27
Common Stock
6569
0
D
Stock Option (right to buy)
17.19
2022-05-17
4
A
0
6569
A
2031-10-27
Common Stock
6569
6569
D
Stock Option (Right to Buy)
5.50
2022-05-17
4
A
0
250000
0
A
2032-05-17
Common Stock
250000
250000
D
Warrants (right to buy)
80.5000
Series A Preferred Stock
10434
10434
D
Common Stock (right to buy)
5.7500
Common Stock
260869
260869
D
Fully vested.
The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.
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.
These shares vest in equal amounts over fourteen (14) months, beginning June 1, 2022.
Represents the right to acquire the security pursuant to a securities purchase agreement entered into with the Company on May 15, 2022.
/s/ Eric O. Madson as Attorney-in-Fact for Brian F. Sullivan pursuant to Power of Attorney previously filed.
2022-05-19