UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (1) | 10/27/2024 | Common Stock | 23,529 | $ 7.47 | D | Â |
Stock Option (right to buy) | Â (2) | 02/23/2025 | Common Stock | 8,000 | $ 23.47 | D | Â |
Stock Option (right to buy) | Â (3) | 01/03/2026 | Common Stock | 15,000 | $ 19 | D | Â |
Stock Option (right to buy) | Â (4) | 05/31/2026 | Common Stock | 30,000 | $ 12.39 | D | Â |
Stock Option (right to buy) | Â (5) | 01/02/2027 | Common Stock | 4,500 | $ 13.89 | D | Â |
Stock Option (right to buy) | Â (6) | 07/02/2027 | Common Stock | 10,500 | $ 11.7 | D | Â |
Stock Option (right to buy) | Â (7) | 01/01/2028 | Common Stock | 18,000 | $ 9.23 | D | Â |
Stock Option (right to buy) | Â (8) | 07/01/2028 | Common Stock | 42,000 | $ 7.72 | D | Â |
Stock Option (right to buy) | Â (9) | 01/31/2029 | Common Stock | 50,000 | $ 3.35 | D | Â |
Restricted Stock Units | Â (10) | Â (10) | Common Stock | 1,250 | $ (11) | D | Â |
Restricted Stock Units | Â (12) | Â (12) | Common Stock | 7,500 | $ (11) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Foster Aaron E. C/O BELLICUM PHARMACEUTICALS, INC. 2130 W. HOLCOMBE BLVD., STE. 800 HOUSTON, TX 77030 |
 |  |  Sr VP, Head of Research |  |
/s/ Rosemary Y. Williams, Attorney-in-Fact | 02/20/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 25% of the shares subject to the stock option vest and become exercisable on October 28, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. |
(2) | 25% of the shares subject to the stock option vest and become exercisable on February 24, 2016, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. |
(3) | 25% of the shares subject to the stock option vest and become exercisable on January 4, 2017, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. |
(4) | 25% of the shares subject to the stock option vest and become exercisable on June 1, 2017, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. |
(5) | 25% of the shares subject to the stock option vest and become exercisable on January 3, 2018, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. |
(6) | 25% of the shares subject to the stock option vest and become exercisable on July 3, 2018, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. |
(7) | 25% of the shares subject to the stock option vest and become exercisable on January 2, 2019, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. |
(8) | 25% of the shares subject to the stock option vest and become exercisable on July 2, 2019, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. |
(9) | 25% of the shares subject to the stock option vest and become exercisable on January 1, 2020, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. |
(10) | On January 3, 2017, the reporting person was granted restricted stock units (the "RSUs") for 2,500 shares. The RSUs vest in four annual installments beginning on January 3, 2018. |
(11) | Each RSU represents a contingent right to receive one share of the Issuer common stock. |
(12) | On January 2, 2018, the reporting person was granted the RSUs for 10,000 shares. The RSUs vest in four equal annual installments beginning on January 2, 2019. |
 Remarks: EXHIBIT LIST: EX-24 power of attorney |