0000899243-17-005888.txt : 20170302 0000899243-17-005888.hdr.sgml : 20170302 20170302060521 ACCESSION NUMBER: 0000899243-17-005888 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170228 FILED AS OF DATE: 20170302 DATE AS OF CHANGE: 20170302 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Kite Pharma, Inc. CENTRAL INDEX KEY: 0001510580 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 2225 COLORADO AVENUE CITY: SANTA MONICA STATE: CA ZIP: 90404 BUSINESS PHONE: (310) 824-9999 MAIL ADDRESS: STREET 1: 2225 COLORADO AVENUE CITY: SANTA MONICA STATE: CA ZIP: 90404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim Helen Susan CENTRAL INDEX KEY: 0001422772 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36508 FILM NUMBER: 17656833 MAIL ADDRESS: STREET 1: 3832 BAY CENTER PLACE CITY: HAYWARD STATE: CA ZIP: 94545 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-28 0 0001510580 Kite Pharma, Inc. KITE 0001422772 Kim Helen Susan C/O KITE PHARMA, INC. 2225 COLORADO AVENUE SANTA MONICA CA 90404 0 1 0 0 EVP, Business Development Common Stock 2017-02-28 4 M 0 31601 51.43 A 50265 D Common Stock 2017-02-28 4 M 0 16299 53.90 A 66564 D Common Stock 2017-02-28 4 S 0 2400 63.00 D 64164 D Common Stock 2017-02-28 4 S 0 18072 65.81 D 46092 D Common Stock 2017-02-28 4 S 0 10326 66.32 D 35766 D Common Stock 2017-02-28 4 S 0 2500 67.49 D 33266 D Common Stock 2017-02-28 4 S 0 900 68.74 D 32366 D Common Stock 2017-02-28 4 S 0 2553 69.63 D 29813 D Common Stock 2017-02-28 4 S 0 9049 71.16 D 20764 D Common Stock 2017-02-28 4 S 0 1800 71.65 D 18964 D Common Stock 2017-02-28 4 S 0 300 72.60 D 18664 D Common Stock 2017-03-01 4 M 0 2400 53.90 A 21064 D Common Stock 2017-03-01 4 S 0 200 68.95 D 20864 D Common Stock 2017-03-01 4 S 0 300 70.29 D 20564 D Common Stock 2017-03-01 4 S 0 200 71.23 D 20364 D Common Stock 2017-03-01 4 S 0 200 72.69 D 20164 D Common Stock 2017-03-01 4 S 0 100 73.64 D 20064 D Common Stock 2017-03-01 4 S 0 200 75.52 D 19864 D Common Stock 2017-03-01 4 S 0 200 76.93 D 19664 D Common Stock 2017-03-01 4 S 0 600 79.26 D 19064 D Common Stock 2017-03-01 4 S 0 400 79.92 D 18664 D Employee Stock Option (Right to Buy) 51.43 2017-02-28 4 M 0 31601 0.00 D 2025-05-18 Common Stock 31601 52499 D Employee Stock Option (Right to Buy) 53.90 2017-02-28 4 M 0 16299 0.00 D 2024-12-16 Common Stock 16299 163701 D Employee Stock Option (Right to Buy) 53.90 2017-03-01 4 M 0 2400 0.00 D 2024-12-16 Common Stock 2400 161301 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 7, 2016. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.00 to $65.99 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.00 to $66.96, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.00 to $67.91 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.25 to $69.19 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.25 to $69.91 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.54 to $71.52 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.54 to $71.80 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.59 to $72.60 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.66 to $69.23 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.89 to $70.71 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.09 to $71.36 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.55 to $72.83 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.25 to $75.79 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.86 to $77.00 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.65 to $79.61 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.69 to $80.38 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. 25% of the 120,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. 25% of the 180,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter. /s/ David M. Tanen, Attorney-in-Fact 2017-03-01