0001104659-20-071837.txt : 20200610
0001104659-20-071837.hdr.sgml : 20200610
20200610112003
ACCESSION NUMBER: 0001104659-20-071837
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200610
FILED AS OF DATE: 20200610
DATE AS OF CHANGE: 20200610
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: 20954030
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
2020-06-10
1
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
2020-06-10
4
A
0
220000
0
A
3024336
D
Common Stock
2020-06-10
4
U
0
3024336
D
0
D
Employee Stock Option (right to buy)
2.92
2020-06-10
4
D
0
90352
D
2021-03-08
Common Stock
90352
0
D
Employee Stock Option (right to buy)
3.30
2020-06-10
4
D
0
180704
D
2022-03-09
Common Stock
180704
0
D
Employee Stock Option (right to buy)
4.12
2020-06-10
4
D
0
356700
D
2026-02-24
Common Stock
356700
0
D
Represents previously-granted performance-based awards that became vested under the agreement and plan of merger among Issuer, Berlin-Chemie AG, and Mercury Merger Sub, Inc., dated as of May 3, 2020 (the "Merger Agreement").
Disposed of in connection with a tender offer made pursuant to the Merger Agreement, in exchange for $11.50 per share, net to the holder in cash, plus one contractual contingent value right ("CVR") per share (collectively, the "Offer Price"). Each CVR represents the right to receive a payment of $1.00 in cash upon the achievement of a certain milestone relating to the first sale of ELZONRIS in any one of certain countries following a marketing authorization approval by the European Commission. The CVR milestone must be achieved on or prior to December 31, 2021.
All options were vested and exercisable as of the effective time of the merger.
Disposed of under the Merger Agreement in exchange for the excess of the Offer Price over the exercise price of the option.
/s/ Ivan Bergstein
2020-06-10