Kite Pharma, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 76 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-28: Reporting owner BUTITTA CYNTHIA M; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-17: Reporting owner Tomasello Shawn; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-12-17: Reporting owner Better Marc; Form 4; Security Employee Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-12-17: Reporting owner Sproule Rizwana F; Form 4; Security Employee Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-12-28 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 335,394 owned after | $1.35 exercise price | 2015-12-29 | |
| 2015-12-17 | Tomasello Shawn Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 160,000 owned after | $63.87 exercise price | 2015-12-21 | |
| 2015-12-17 | Better Marc Officer (VP, Product Sciences) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,800 8,800 owned after | $63.87 exercise price | 2015-12-21 | |
| 2015-12-17 | Sproule Rizwana F Officer (VP Regulatory Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,800 8,800 owned after | $63.87 exercise price | 2015-12-21 | |
| 2015-12-17 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,800 24,800 owned after | $63.87 exercise price | 2015-12-21 | |
| 2015-12-17 | Wiezorek Jeffrey Officer (SVP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,400 26,400 owned after | $63.87 exercise price | 2015-12-21 | |
| 2015-12-17 | Kim Helen Susan Officer (EVP, Business Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,000 33,000 owned after | $63.87 exercise price | 2015-12-21 | |
| 2015-12-17 | Chang David D Officer (EVP, R&D, Chief Medical Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +66,100 66,100 owned after | $63.87 exercise price | 2015-12-21 | |
| 2015-12-17 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +66,100 66,100 owned after | $63.87 exercise price | 2015-12-21 | |
| 2015-12-17 | Belldegrun Arie Director, Officer (Chairman, President and CEO), 10% Owner | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,700 100,700 owned after | $63.87 exercise price | 2015-12-21 | |
| 2015-12-15 | Wiezorek Jeffrey Officer (SVP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 103,000 owned after | $6.89 exercise price | 2015-12-17 | |
| 2015-12-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 96,625 owned after | $0.70 exercise price | 2015-12-17 | |
| 2015-12-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −645 33,233 owned after | $17.00 exercise price | 2015-12-17 | |
| 2015-12-15 | Sproule Rizwana F Officer (VP Regulatory Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,567 123,464 owned after | $1.35 exercise price | 2015-12-17 | |
| 2015-12-01 | Better Marc Officer (VP, Product Sciences) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 78,000 owned after | $0.38 exercise price | 2015-12-03 | |
| 2015-11-30 | Wiezorek Jeffrey Officer (SVP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $6.89 exercise price | 2016-02-18 | |
| 2015-11-27 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 345,394 owned after | $1.35 exercise price | 2015-11-30 | |
| 2015-11-16 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 102,125 owned after | $0.70 exercise price | 2015-11-18 | |
| 2015-11-16 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −645 33,878 owned after | $17.00 exercise price | 2015-11-18 | |
| 2015-11-16 | Wiezorek Jeffrey Officer (SVP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 112,000 owned after | $6.89 exercise price | 2015-11-18 | |
| 2015-11-16 | Sproule Rizwana F Officer (VP Regulatory Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,567 133,031 owned after | $1.35 exercise price | 2015-11-18 | |
| 2015-11-10 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 360,394 owned after | $1.35 exercise price | 2015-11-12 | |
| 2015-11-10 | Chang David D Officer (EVP, R&D, Chief Medical Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,800 223,000 owned after | $6.89 exercise price | 2015-11-12 | |
| 2015-11-02 | Better Marc Officer (VP, Product Sciences) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 87,000 owned after | $0.38 exercise price | 2015-11-04 | |
| 2015-11-02 | Chang David D Officer (EVP, R&D, Chief Medical Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,700 253,800 owned after | $6.89 exercise price | 2015-11-04 | |
| 2015-10-27 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 365,394 owned after | $1.35 exercise price | 2015-10-28 | |
| 2015-10-15 | Sproule Rizwana F Officer (VP Regulatory Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,567 142,598 owned after | $1.35 exercise price | 2015-10-19 | |
| 2015-10-15 | Wiezorek Jeffrey Officer (SVP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 121,000 owned after | $6.89 exercise price | 2015-10-19 | |
| 2015-10-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 107,625 owned after | $0.70 exercise price | 2015-10-19 | |
| 2015-10-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −645 34,523 owned after | $17.00 exercise price | 2015-10-19 | |
| 2015-10-01 | Chang David D Officer (EVP, R&D, Chief Medical Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,700 261,500 owned after | $6.89 exercise price | 2015-10-02 | |
| 2015-10-01 | Better Marc Officer (VP, Product Sciences) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 96,000 owned after | $0.38 exercise price | 2015-10-02 | |
| 2015-09-28 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 375,394 owned after | $1.35 exercise price | 2015-09-30 | |
| 2015-09-15 | Wiezorek Jeffrey Officer (VP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 130,000 owned after | $6.89 exercise price | 2015-09-17 | |
| 2015-09-15 | Sproule Rizwana F Officer (VP Regulatory Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,567 152,165 owned after | $1.35 exercise price | 2015-09-17 | |
| 2015-09-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 113,125 owned after | $0.70 exercise price | 2015-09-17 | |
| 2015-09-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −645 35,168 owned after | $17.00 exercise price | 2015-09-17 | |
| 2015-09-09 | Humer Franz B Director | 4 | Stock Option Grant (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $56.12 exercise price | 2015-09-17 | |
| 2015-09-08 | Chang David D Officer (EVP, R&D, Chief Medical Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,384 269,200 owned after | $6.89 exercise price | 2015-09-08 | |
| 2015-09-03 | Chang David D Officer (EVP, R&D, Chief Medical Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −316 276,584 owned after | $6.89 exercise price | 2015-09-08 | |
| 2015-09-01 | Better Marc Officer (VP, Product Sciences) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 105,000 owned after | $0.38 exercise price | 2015-09-03 | |
| 2015-08-27 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 385,394 owned after | $1.35 exercise price | 2015-08-28 | |
| 2015-08-17 | Wiezorek Jeffrey Officer (VP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 139,000 owned after | $6.89 exercise price | 2015-08-19 | |
| 2015-08-17 | Sproule Rizwana F Officer (VP Regulatory Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,567 161,732 owned after | $1.35 exercise price | 2015-08-19 | |
| 2015-08-17 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 118,625 owned after | $0.70 exercise price | 2015-08-19 | |
| 2015-08-17 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −645 35,813 owned after | $17.00 exercise price | 2015-08-19 | |
| 2015-08-03 | Better Marc Officer (VP, Product Sciences) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 114,000 owned after | $0.38 exercise price | 2015-08-04 | |
| 2015-08-03 | Chang David D Officer (EVP, R&D, Chief Medical Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,700 276,900 owned after | $6.89 exercise price | 2015-08-04 | |
| 2015-07-27 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 395,394 owned after | $1.35 exercise price | 2015-07-28 | |
| 2015-07-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,625 124,125 owned after | $0.70 exercise price | 2015-07-23 | |
| 2015-07-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,542 36,458 owned after | $17.00 exercise price | 2015-07-23 | |
| 2015-07-15 | Wiezorek Jeffrey Officer (VP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 148,000 owned after | $6.89 exercise price | 2015-07-20 | |
| 2015-07-15 | Sproule Rizwana F Officer (VP Regulatory Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,567 171,299 owned after | $1.35 exercise price | 2015-07-20 | |
| 2015-07-01 | Better Marc Officer (VP, Product Sciences) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 123,000 owned after | $0.38 exercise price | 2015-07-02 | |
| 2015-07-01 | Chang David D Officer (EVP, R&D, Chief Medical Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,700 284,600 owned after | $6.89 exercise price | 2015-07-02 | |
| 2015-06-29 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 405,394 owned after | $1.35 exercise price | 2015-07-01 | |
| 2015-06-15 | Wiezorek Jeffrey Officer (VP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 157,000 owned after | $6.89 exercise price | 2015-06-17 | |
| 2015-06-15 | Chang David D Officer (EVP, R&D, Chief Medical Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,700 292,300 owned after | $6.89 exercise price | 2015-06-17 | |
| 2015-06-15 | Sproule Rizwana F Officer (VP Regulatory Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,567 180,866 owned after | $1.35 exercise price | 2015-06-17 | |
| 2015-06-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,625 132,750 owned after | $0.70 exercise price | 2015-06-17 | |
| 2015-06-09 | DOUMANI ROY Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $59.23 exercise price | 2015-06-17 | |
| 2015-06-09 | Ruchefsky Steven B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $59.23 exercise price | 2015-06-17 | |
| 2015-06-09 | Peacock Jonathan M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $59.23 exercise price | 2015-06-17 | |
| 2015-06-09 | Nussbaum Ran Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $59.23 exercise price | 2015-06-17 | |
| 2015-06-09 | Kazam Joshua A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $59.23 exercise price | 2015-06-17 | |
| 2015-06-09 | CHAMPSI FARAH Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $59.23 exercise price | 2015-06-17 | |
| 2015-06-09 | BONDERMAN DAVID Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $59.23 exercise price | 2015-06-17 | |
| 2015-06-01 | Better Marc Officer (VP, Product Sciences) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 132,000 owned after | $0.38 exercise price | 2015-06-03 | |
| 2015-05-27 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 415,394 owned after | $1.35 exercise price | 2015-05-29 | |
| 2015-05-19 | Kim Helen Susan Officer (EVP, Business Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $51.43 exercise price | 2016-08-16 | |
| 2015-05-15 | Roberts Margo R Officer (Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,625 141,375 owned after | $0.70 exercise price | 2015-05-19 | |
| 2015-05-15 | Wiezorek Jeffrey Officer (VP Clinical Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 166,000 owned after | $6.89 exercise price | 2015-05-19 | |
| 2015-05-15 | Sproule Rizwana F Officer (VP Regulatory Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,567 190,433 owned after | $1.35 exercise price | 2015-05-19 | |
| 2015-05-01 | Better Marc Officer (VP, Product Sciences) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 141,000 owned after | $0.38 exercise price | 2015-05-05 | |
| 2015-04-27 | BUTITTA CYNTHIA M Officer (COO and CFO) | 4/A | Stock Option ( Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 425,394 owned after | $1.35 exercise price | 2015-04-29 | |
| 2015-04-23 holding as of filing | Kim Helen Susan Officer (EVP, Business Development) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $53.90 exercise price | 2015-04-23 |