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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee stock option (right to buy) | $ 0.69 | 05/15/2018(1) | A | 825,000 | (1) | 01/21/2028 | Common stock | 825,000 | $ 0 | 825,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dentzer James E C/O CURIS, INC. 4 MAGUIRE ROAD LEXINGTON, MA 02421 |
COO & CFO |
William Steinkrauss, Attorney-in-fact | 05/17/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | This option grant, as disclosed in Curis Inc.'s 2018 proxy statement, was approved by the Compensation Committee of the Board of Directors of Curis, Inc. on January 22, 2018, contingent upon shareholder approval of Curis's Third Amended and Restated 2010 Stock Incentive Plan to increase the number of shares authorized for issuance thereunder; and further provided that such option would not be exercisable and no common stock would be issued thereunder, if the Third Amended and Restated 2010 Plan was not approved by Curis's shareholders. On May 15, 2018, at the 2018 annual meeting of shareholders, Curis's shareholders approved the Third Amended and Restated 2010 Plan. The option grant described in this Form 4 filing vests as to 25% of the original shares on January 22, 2019 and as to an additional 6.25% of the original shares each successive quarter and until January 22, 2022. |