0001104659-20-033489.txt : 20200313 0001104659-20-033489.hdr.sgml : 20200313 20200313213147 ACCESSION NUMBER: 0001104659-20-033489 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200309 FILED AS OF DATE: 20200313 DATE AS OF CHANGE: 20200313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bergstein Ivan CENTRAL INDEX KEY: 0001554767 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35619 FILM NUMBER: 20715083 MAIL ADDRESS: STREET 1: C/O STEMLINE THERAPEUTICS, INC. STREET 2: 750 LEXINGTON AVENUE, 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STEMLINE THERAPEUTICS INC CENTRAL INDEX KEY: 0001264587 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 450522567 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 750 LEXINGTON AVENUE STREET 2: ELEVENTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-502-2311 MAIL ADDRESS: STREET 1: 750 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 a4.xml 4 X0306 4 2020-03-09 0 0001264587 STEMLINE THERAPEUTICS INC STML 0001554767 Bergstein Ivan C/O STEMLINE THERAPEUTICS, INC. 750 LEXINGTON AVENUE, ELEVENTH FLOOR NEW YORK NY 10022 1 1 0 0 Chief Executive Officer Common Stock 2020-03-09 4 S 0 20909 5.09 D 2894496 D Common Stock 2020-03-10 4 S 0 36542 4.92 D 2857954 D In connection with the vesting of 35,927 shares on March 8, 2020, a total of 20,909 shares were sold by the Company on March 9, 2020 in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the Issuer's corporate policies. Reflects the weighted average sale price. The range of prices for the shares sold on March 9, 2020 was $5.00 to $5.30. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one-dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies. Of the shares listed, 923,522 shares are restricted stock. In connection with the vesting of 66,571 shares on March 9, 2020, a total of 36,542 shares were sold by the Company on March 10, 2020 in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the Issuer's corporate policies. Reflects the weighted average sale price. The range of prices for the shares sold on March 10, 2020 was $4.67 to $5.06. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one-dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies. Of the shares listed, 856,951 shares are restricted stock. /s/ Ivan Bergstein 2020-03-13