FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/15/2016 |
3. Issuer Name and Ticker or Trading Symbol
CELGENE CORP /DE/ [ CELG ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 3,650 | D | |
Common Stock | 135 | I | 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (1)(2) | 02/02/2025 | Common Stock | 19,142 | $118.57 | D | |
Stock Option (right to buy) | (1)(3) | 05/04/2025 | Common Stock | 3,125 | $109.9 | D | |
Stock Option (right to buy) | (1)(4) | 07/27/2025 | Common Stock | 3,125 | $132.56 | D | |
Stock Option (right to buy) | (1)(5) | 11/09/2025 | Common Stock | 3,125 | $114.08 | D | |
Stock Option (right to buy) | (1)(6) | 02/01/2026 | Common Stock | 3,125 | $100.8 | D | |
Stock Option (right to buy) | (1)(7) | 05/02/2026 | Common Stock | 12,906 | $104.97 | D | |
Restricted Stock Unit | (8) | (8) | Common Stock | 11,246 | (9)(10) | D | |
Restricted Stock Unit | (11) | (11) | Common Stock | 781 | (9)(10) | D | |
Restricted Stock Unit | (12) | (12) | Common Stock | 5,350 | (9)(10) | D | |
Restricted Stock Unit | (13) | (13) | Common Stock | 6,731 | (9)(10) | D |
Explanation of Responses: |
1. The option was issued pursuant to the Company's 2008 Stock Incentive Plan (as amended and restated as of April 15, 2015). |
2. The option is immediately exercisable and will vest in four equal annual installments commencing on February 2, 2016. |
3. The option is immediately exercisable and will vest in four equal annual installments commencing on May 4, 2016. |
4. The option is immediately exercisable and will vest in four equal annual installments commencing on July 27, 2016. |
5. The option is immediately exercisable and will vest in four equal annual installments commencing on November 9, 2016. |
6. The option is immediately exercisable and will vest in four equal annual installments commencing on February 1, 2017. |
7. The option is immediately exercisable and will vest in four equal annual installments commencing on May 2, 2017. |
8. The restricted stock units will vest in two annual installments as follows: 5,622 shares on February 2, 2017; 5,623 shares on February 2, 2018. Vested shares will be delivered to the reporting person promptly after the vesting date. |
9. The restricted stock unit was issued pursuant to the Company's 2008 Stock Incentive Plan (as amended and restated as of April 15, 2015). |
10. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. |
11. The restricted stock units vest on May 4, 2018. Vested shares will be delivered to the reporting person on the vesting date. |
12. The restricted stock units vest on December 16, 2018. Vested shares will be delivered to the reporting person on the vesting date. |
13. The restricted stock units vest on May 2, 2019. Vested shares will be delivered to the reporting person on the vesting date. |
Remarks: |
President, Research and Early Development |
/s/ Rupert Vessey _________________________________________ Rupert Vessey | 06/23/2016 | |
** 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 5 (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. |