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