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