0001171843-17-005045.txt : 20170814 0001171843-17-005045.hdr.sgml : 20170814 20170814160227 ACCESSION NUMBER: 0001171843-17-005045 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDENBERG DAVID M CENTRAL INDEX KEY: 0001029578 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12104 FILM NUMBER: 171030030 MAIL ADDRESS: STREET 1: UBS GLOBAL ASSET MANAGEMENT (US) INC. STREET 2: 51 WEST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IMMUNOMEDICS INC CENTRAL INDEX KEY: 0000722830 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 611009366 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 300 AMERICAN RD CITY: MORRIS PLAINS STATE: NJ ZIP: 07950 BUSINESS PHONE: 9736058200 MAIL ADDRESS: STREET 1: 300 AMERICAN ROAD CITY: MORRIS PLAINS STATE: NJ ZIP: 07950 5 1 formfive.xml OWNERSHIP DOCUMENT X0306 5 2017-06-30 0 0 1 0000722830 IMMUNOMEDICS INC IMMU 0001029578 GOLDENBERG DAVID M C/O IMMUNOMEDICS, INC 300 THE AMERICAN ROAD MORRIS PLAINS NJ 07950 1 1 0 0 See Remarks Common Stock 2017-01-29 4 A 0 L 29239 0 A 2401054 D Common Stock 2017-01-29 4 F 0 L 11696 4.65 D 2401054 D Common Stock 2017-01-29 4 A 0 L 29240 0 A 3467423 I See Footnote Common Stock 2017-01-29 4 F 0 L 11696 4.65 D 3467423 I See Footnote Common Stock 2017-03-14 4 A 0 L 14620 0 A 2401054 D Common Stock 2017-03-14 4 F 0 L 5848 6.39 D 2401054 D Common Stock 2017-03-14 4 A 0 L 14620 0 A 3467423 I See Footnote Common Stock 2017-03-14 4 F 0 L 5848 6.39 D 3467423 I See Footnote Common Stock 2017-05-18 4 M 0 L 11500 3.28 A 2401054 D Common Stock 2017-05-18 4 S 0 L 11500 7.3767 D 2401054 D Common Stock 2017-05-19 4 M 0 L 11500 3.28 A 2401054 D Common Stock 2017-05-19 4 S 0 L 11500 7.3414 D 2401054 D Common Stock 2017-05-22 4 M 0 L 11500 3.28 A 2401054 D Common Stock 2017-05-22 4 S 0 L 11500 7.4548 D 2401054 D Common Stock 2017-05-25 4 M 0 L 109000 3.28 A 2401054 D Common Stock 2017-05-25 4 S 0 L 109000 7.4280 D 2401054 D Common Stock 2017-05-25 4 M 0 L 106500 3.28 A 2401054 D Common Stock 2017-05-18 4 M 0 L 9500 3.28 A 3467423 I See Footnote Common Stock 2017-05-18 4 S 0 L 9500 7.3768 D 3467423 I See Footnote Common Stock 2017-05-19 4 M 0 L 9500 3.28 A 3467423 I See Footnote Common Stock 2017-05-19 4 S 0 L 9500 7.4008 D 3467423 I See Footnote Common Stock 2017-05-22 4 M 0 L 9500 3.28 A 3467423 I See Footnote Common Stock 2017-05-22 4 S 0 L 9500 7.4508 D 3467423 I See Footnote Common Stock 2017-05-25 4 M 0 L 86500 3.28 A 3467423 I See Footnote Common Stock 2017-05-25 4 S 0 L 86500 7.4181 D 3467423 I See Footnote Common Stock 2017-05-25 4 M 0 L 85000 3.28 A 3467423 I See Footnote Stock Option (right to buy) 3.28 2017-05-18 4 M 0 L 11500 0 D 2017-07-23 Common Stock, par value $0.01 per share 11500 238500 D Stock Option (right to buy) 3.28 2017-05-19 4 M 0 L 11500 0 D 2017-07-23 Common Stock, par value $0.01 per share 11500 227000 D Stock Option (right to buy) 3.28 2017-05-22 4 M 0 L 11500 0 D 2017-07-23 Common Stock, par value $0.01 per share 11500 215500 D Stock Option (right to buy) 3.28 2017-05-25 4 M 0 L 109000 0 D 2017-07-23 Common Stock, par value $0.01 per share 109000 106500 D Stock Option (right to buy) 3.28 2017-05-25 4 M 0 L 106500 0 D 2017-07-23 Common Stock, par value $0.01 per share 106500 0 D Stock Option (right to buy) 3.28 2017-05-18 4 M 0 L 9500 0 D 2017-07-23 Common Stock, par value $0.01 per share 9500 190500 I See Footnote Stock Option (right to buy) 3.28 2017-05-19 4 M 0 L 9500 0 D 2017-07-23 Common Stock, par value $0.01 per share 9500 181000 I See Footnote Stock Option (right to buy) 3.28 2017-05-22 4 M 0 L 9500 0 D 2017-07-23 Common Stock, par value $0.01 per share 9500 171500 I See Footnote Stock Option (right to buy) 3.28 2017-05-25 4 M 0 L 86500 0 D 2017-07-23 Common Stock, par value $0.01 per share 86500 85000 I See Footnote Stock Option (right to buy) 3.28 2017-05-25 4 M 0 L 85000 0 D 2017-07-23 Common Stock, par value $0.01 per share 85000 0 I See Footnote Represents the settlement of common stock underlying Performance Units that have vested in accordance with the terms of the Performance-Based Restricted Stock Unit Agreement entered into by and between the Company and the reporting person on August 16, 2013. Includes a total of 190,000 shares held as joint tenants by the reporting person and his spouse, Cynthia L. Goldenberg, also known as Cynthia L. Sullivan, a director of the Issuer. Such shares are held by the reporting person's spouse, by various trusts established for the benefit of the reporting person and/or family members of the reporting person, or by a majority-owned subsidiary of the Issuer, of which the reporting person is an officer. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interests therein. The reporting person was granted stock options pursuant to the Company's 2006 Stock Incentive Plan, as amended. Such stock options vested 25% on the first anniversary of the date of grant and 6.25% on a quarterly basis thereafter. The reporting person's spouse, Ms. Cynthia L. Sullivan, was granted stock options pursuant to the Company's 2006 Stock Incentive Plan, as amended. Such stock options vested 25% on the first anniversary of the date grant and 6.25% on a quarterly basis thereafter. /s/ David M. Goldenberg 2017-08-14