0001062993-23-023236.txt : 20231228 0001062993-23-023236.hdr.sgml : 20231228 20231228161727 ACCESSION NUMBER: 0001062993-23-023236 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231227 FILED AS OF DATE: 20231228 DATE AS OF CHANGE: 20231228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sullivan Brian F. CENTRAL INDEX KEY: 0000940454 ORGANIZATION NAME: STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38207 FILM NUMBER: 231522899 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] ORGANIZATION NAME: 08 Industrial Applications and Services 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 2023-12-27 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 2023-12-27 4 G 0 1733347 0 D 1283296 D Common Stock 2023-12-27 4 G 0 870000 0 A 870000 I By Spouse Common Stock 2023-12-27 4 G 0 863347 0 A 863347 I By Family Trust #1 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 2033-08-25 Common Stock 180000 180000 D 870,000 shares have been gifted to the Reporting Person's spouse for estate planning purposes. The Reporting Person remains the beneficial owner of the securities. 863,347 shares have been gifted to an irrevocable family trust for estate planning purposes. The Reporting Person holds all voting and dispositive power with respect to the securities held by the trust and remains the beneficial owner of such securities. 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. 2023-12-28