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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 | ||||||||
Options to purchase common stock | $ 2.52 | 05/07/2015 | A | 82,128 | (6) | 05/07/2025 | Common stock | 82,128 | $ 2.52 | 82,128 | D | ||||
Options to purchase common stock | $ 2.52 | 05/07/2015 | A | 63,063 | 05/07/2015 | 05/07/2025 | Common stock | 63,063 | $ 2.52 | 63,063 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DAVE KAUSHIK J C/O ACTINIUM PHARMACEUTICALS, INC 546 FIFTH AVENUE, 14TH FLOOR NEW YORK, NY 10036 |
X | President, CEO and Interim CFO |
/s/ Kaushik J. Dave | 05/22/2015 | |
**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) | Recipient was granted 41,667 shares of restricted common stock on 1/10/14. As of May 7, 2015, 14,166 shares were vested. Company withheld 7,083 shares to pay tax obligations of award recipient on vested shares. The remaining 27,501 unvested shares of restricted stock were cancelled and a new award of 32,869 options exercisable for shares of common stock were granted to the recipient. |
(2) | 11,667 shares vested on 1/10/15 and the share price was $5.17; 833 shares vested on 2/10/15 and the share price was $3.52; 833 shares vested on 3/10/15 and the share price was $2.95; and 833 shares vested on 4/10/15 and the share price was $2.96. |
(3) | Recipient was granted 100,000 shares of restricted common stock on 2/21/14. As of May 7, 2015, 32,000 shares were vested. Company withheld 16,000 shares to pay tax obligations of award recipient on vested shares. The remaining 68,000 unvested shares of restricted stock were cancelled and a new award of 82,128 options exercisable for shares of common stock were granted to the recipient. |
(4) | 28,000 shares vested on 2/21/15 and the share price was 3.51; 2,000 shares vested on 3/21/15 and the share price was $2.87; and 2,000 shares vested on 4/21/15 and the share price was $3.08. |
(5) | Recipient was granted 100,000 shares of restricted common stock on 9/16/13, of which 50,000 shares vested on 9/16/14. As of May 7, 2015, an additional 25,000 shares were vested in 2015. Company withheld 12,500 shares to pay tax obligations of award recipient on 2015 vested shares. The remaining 25,000 unvested shares of restricted stock were cancelled and a new award of 30,194 options exercisable for shares of common stock were granted to the recipient. |
(6) | Options vest based on certain miles stones: Filing IND (50%); First Patient in (10%); Hiring of VP-Mfg or other competent person and training so that person is capable of producing Iomab-B (25%); Completion of Actimab-A 1 step labeling (10%); and VP Manufacturing or other competent person to handle manufacturing and logistics of Actimab-A (5%). |