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