0001104659-22-072392.txt : 20220617 0001104659-22-072392.hdr.sgml : 20220617 20220617161402 ACCESSION NUMBER: 0001104659-22-072392 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220613 FILED AS OF DATE: 20220617 DATE AS OF CHANGE: 20220617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: He Wei-Wu CENTRAL INDEX KEY: 0001542073 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20713 FILM NUMBER: 221023988 MAIL ADDRESS: STREET 1: ENTREMED, INC. STREET 2: 9640 MEDICAL CENTER DRIVE CITY: ROCKVILLE STATE: MD ZIP: 20850 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CASI Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0000895051 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 581959440 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9620 MEDICAL CENTER DR STREET 2: STE 300 CITY: ROCKVILLE STATE: MD ZIP: 20850 BUSINESS PHONE: 240-864-2600 MAIL ADDRESS: STREET 1: 9620 MEDICAL CENTER DR STREET 2: STE 300 CITY: ROCKVILLE STATE: MD ZIP: 20850 FORMER COMPANY: FORMER CONFORMED NAME: ENTREMED INC DATE OF NAME CHANGE: 19960415 4 1 tm2217338-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-06-13 0 0000895051 CASI Pharmaceuticals, Inc. CASI 0001542073 He Wei-Wu CASI PHARMACEUTICALS, INC. 9620 MEDICAL CENTER DRIVE, SUITE 300 ROCKVILLE MD 20850 1 1 1 0 Chairman and CEO Common Stock 2022-06-13 4 P 0 36058 2.97 A 592457 D Common Stock 2022-06-14 4 P 0 2096 3.06 A 594553 D Common Stock 2022-06-15 4 P 0 50000 3.18 A 644553 D Common Stock 300000 I See Footnote Common Stock 753234 I See Footnote Common Stock 44107 I See Footnote The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $3.08 to $3.20 per share on June 15, 2022, $3.04 to $3.06 per share on June 14, 2022, and $2.87 to $3.00 per share on June 13, 2022. The Reporting Person undertakes to provide to the issuer, or any shareholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. On June 1, 2022, the Issuer effected a 1-for-10 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. The shares are held indirectly in the name of ETP BioHealth III Fund, LP, a limited partnership of which the Reporting Person is the managing member of the general partner. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest therein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or any other purposes. The shares are held indirectly in the name of ETP Global Fund LP, a limited partnership of which the Reporting Person is the managing member of the general partner. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest therein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or any other purposes. The shares are held indirectly in the name of Emerging Technology Partners, LLC, an LLC entity of which the Reporting Person is the managing member. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest thein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for the purposes of Section 16 or any other purposes. Exhibit 24 - Power of Attorney /s/ Alexander Zukiwski, attorney-in-fact for Wei-Wu He 2022-06-17 EX-24 2 tm2217338-1_ex24.htm EXHIBIT 24

Exhibit 24

CONFIRMING
STATEMENT

This Statement confirms that the undersigned, Wei-Wu He, has authorized and designated each of Larry Zhang and Alexander Zukiwski to execute and file on the undersigned's behalf Form 3, and all Forms 4 and 5 (including any amendments thereto) that the undersigned may be required to file with the U.S. Securities and Exchange Commission as a result of the undersigned's ownership of or transactions in securities of CASI Pharmaceuticals, Inc. The authority of Larry Zhang and Alexander Zukiwski under this Statement shall continue until the undersigned is no longer required to file Forms 4 and 5 with regard to his ownership of or transactions in securities of CASI Pharmaceuticals, Inc., unless earlier revoked in writing. The undersigned acknowledges Larry Zhang and Alexander Zukiwski are not assuming any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.

Date: February 14, 2022	/s/ Wei-Wu He
	Wei-Wu He