0001062993-23-017205.txt : 20230829 0001062993-23-017205.hdr.sgml : 20230829 20230829164025 ACCESSION NUMBER: 0001062993-23-017205 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230825 FILED AS OF DATE: 20230829 DATE AS OF CHANGE: 20230829 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sullivan Brian F. CENTRAL INDEX KEY: 0000940454 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38207 FILM NUMBER: 231222484 MAIL ADDRESS: STREET 1: 16305 36TH AVENUE N CITY: MINNEAPOLIS STATE: MN ZIP: 55446 FORMER NAME: FORMER CONFORMED NAME: SULLIVAN BRIAN F DATE OF NAME CHANGE: 19950307 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Celcuity Inc. CENTRAL INDEX KEY: 0001603454 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 16305 36TH AVENUE N STREET 2: SUITE 100 CITY: MINNEAPOLIS STATE: MN ZIP: 55446 BUSINESS PHONE: 763-392-0767 MAIL ADDRESS: STREET 1: 16305 36TH AVENUE N STREET 2: SUITE 100 CITY: MINNEAPOLIS STATE: MN ZIP: 55446 FORMER COMPANY: FORMER CONFORMED NAME: Celcuity LLC DATE OF NAME CHANGE: 20140324 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2023-08-25 0001603454 Celcuity Inc. CELC 0000940454 Sullivan Brian F. 16305 36TH AVENUE NORTH SUITE 100 MINNEAPOLIS MN 55446 1 1 1 0 Chief Executive Officer 0 Common Stock 3016643 D Stock Option (right to buy) 8.4000 2027-05-17 Common Stock 21500 21500 D Stock Option (right to buy) 5.50 2027-09-19 Common Stock 8220 8220 D Stock Option (right to buy) 5.50 2028-08-13 Common Stock 3769 3769 D Stock Option (right to buy) 5.50 2028-10-17 Common Stock 14675 14675 D Stock Option (right to buy) 5.50 2029-08-12 Common Stock 50000 50000 D Stock Option (right to buy) 5.50 2029-08-12 Common Stock 4985 4985 D Stock Option (right to buy) 5.9000 2030-08-12 Common Stock 20000 20000 D Stock Option (right to buy) 5.9000 2030-08-12 Common Stock 17281 17281 D Stock Option (right to buy) 5.50 2030-12-28 Common Stock 11081 11081 D Stock Option (right to buy) 5.50 2031-02-02 Common Stock 12859 12859 D Stock Option (right to buy) 5.50 2031-03-18 Common Stock 11889 11889 D Stock Option (right to buy) 5.50 2031-04-12 Common Stock 13509 13509 D Stock Option (right to buy) 5.50 2031-08-11 Common Stock 17000 17000 D Stock Option (right to buy) 5.50 2031-08-11 Common Stock 20000 20000 D Stock Option (right to buy) 5.50 2031-10-27 Common Stock 6569 6569 D Stock Option (right to buy) 5.50 2032-05-17 Common Stock 250000 250000 D Warrants (right to buy) 8.05 2027-12-09 Common Stock 104340 104340 D Stock Option (right to buy) 11.55 2033-02-16 Common Stock 69760 69760 D Stock Option (right to buy) 9.89 2023-08-25 4 A 0 180000 0 A 2033-08-25 Common Stock 180000 180000 D Fully vested. 5,000 shares vest on 8/12/21; the remaining 15,000 shares vest 1/36th per month thereafter. 2,770 shares vest on 12/29/21; the remaining 8,311 shares vest 1/36th per month thereafter. 3,214 shares vest on 2/2/22; the remaining 9,645 shares vest 1/36th per month thereafter. 2,972 shares vest on 3/18/22; the remaining 8,917 shares vest 1/36th per month thereafter. 3,377 shares vest on 4/12/22; the remaining 10,132 shares vest 1/36th per month thereafter. 5,000 shares vest on 8/11/22; the remaining 15,000 shares vest 1/36th per month thereafter. 1,642 shares vest on 10/27/22; the remaining 4,927 shares vest 1/36th per month thereafter. Fully exercisable. These shares vest in equal amounts over twelve (12) months, beginning February 16, 2023. 45,000 shares vest on 8/25/24; the remaining 135,000 shares vest 1/36th per month thereafter. /s/ Eric O. Madson as Attorney-in-Fact for Brian F. Sullivan pursuant to Power of Attorney previously filed. 2023-08-29