SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Celcuity Inc. [ CELC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/16/2023 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 13,297(1) | D | ||||||||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (right to buy) | $8.4 | (2) | 05/17/2027 | Common Stock | 37,500 | 37,500 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (2) | 07/05/2028 | Common Stock | 3,000 | 3,000 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (2) | 10/17/2028 | Common Stock | 932 | 932 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (3) | 08/12/2029 | Common Stock | 3,000 | 3,000 | D | ||||||||
| Stock Option (right to buy) | $5.9 | (4) | 08/12/2030 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (5) | 12/28/2030 | Common Stock | 1,122 | 1,122 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (6) | 02/02/2031 | Common Stock | 1,301 | 1,301 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (7) | 03/18/2031 | Common Stock | 1,204 | 1,204 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (8) | 04/12/2031 | Common Stock | 3,806 | 3,806 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (9) | 08/11/2031 | Common Stock | 15,000 | 15,000 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (10) | 10/27/2031 | Common Stock | 821 | 821 | D | ||||||||
| Stock Option (right to buy) | $5.5 | (11) | 05/17/2032 | Common Stock | 31,930 | 31,930 | D | ||||||||
| Stock Option (right to buy) | $11.55 | 02/16/2023 | A | 5,069 | (12) | 02/16/2033 | Common Stock | 5,069 | $0 | 5,069 | D | ||||
| Explanation of Responses: |
| 1. Includes 394 shares acquired on October 31, 2022 pursuant to the Issuer's Employee Stock Purchase Plan. |
| 2. Fully vested. |
| 3. 750 shares vest on 8/12/20; the remaining 2,250 shares vest 1/36th per month thereafter. |
| 4. 2,500 shares vest on 8/12/21; the remaining 7,500 shares vest 1/36th per month thereafter. |
| 5. 280 shares vest on 12/29/21; the remaining 842 shares vest 1/36th per month thereafter. |
| 6. 325 shares vest on 2/2/22; the remaining 976 shares vest 1/36th per month thereafter. |
| 7. 301 shares vest on 3/18/22; the remaining 903 shares vest 1/36th per month thereafter. |
| 8. 952 shares vest on 4/12/22; the remaining 2,854 shares vest 1/36th per month thereafter. |
| 9. 3,750 shares vest on 8/11/22; the remaining 11,250 shares vest 1/36th per month thereafter. |
| 10. 205 shares vest on 10/27/22; the remaining 616 shares vest 1/36th per month thereafter. |
| 11. These shares vest in equal amounts over fourteen (14) months, beginning June 1, 2022. |
| 12. These shares vest in equal amounts over twelve (12) months, beginning February 16, 2023. |
| /s/ Eric O. Madson as Attorney-in-Fact for Vicky Hahne pursuant to Power of Attorney previously filed. | 02/21/2023 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||