0001104659-20-129106.txt : 20201124 0001104659-20-129106.hdr.sgml : 20201124 20201124173915 ACCESSION NUMBER: 0001104659-20-129106 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201120 FILED AS OF DATE: 20201124 DATE AS OF CHANGE: 20201124 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: 201345618 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 tm2037043-1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-11-20 0 0000895051 CASI Pharmaceuticals, Inc. CASI 0001542073 He Wei-Wu CASI PHARMACEUTICALS, INC. 9620 MEDICAL CENTER DRIVE, SUITE 300 ROCKVILLE MD 20850 1 1 0 0 Chairman and CEO Common Stock 2020-11-20 4 P 0 127471 2.12 A 4963994 D Common Stock 2020-11-23 4 P 0 100000 2.18 A 5063994 D Common Stock 7532347 I See Footnote Common Stock 441072 I See Footnote The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.01 to $2.22 per share on November 20, 2020. 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. 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. /s/ Cynthia W. Hu, attorney-in-fact for Wei Wu He 2020-11-24