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Cue Biopharma, Inc. — Director's Dealing 2021
Mar 17, 2021
34525_dirs_2021-03-17_9e7d10ec-88e7-4d0d-a96d-57f8c730595c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Cue Biopharma, Inc. (CUE)
CIK: 0001645460
Period of Report: 2021-03-15
Reporting Person: Pienta Kenneth (Chief Medical Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-15 | Common Stock | M | 13000 | $5.00 | Acquired | 15000 | Direct |
| 2021-03-15 | Common Stock | S | 13000 | $15.0976 | Disposed | 2000 | Direct |
| 2021-03-16 | Common Stock | M | 439 | $5.00 | Acquired | 2439 | Direct |
| 2021-03-16 | Common Stock | S | 439 | $15.0926 | Disposed | 2000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-15 | Stock Option (right to buy) | $5.00 | M | 13000 | Disposed | 2024-04-17 | Common Stock (13000) | Direct |
| 2021-03-16 | Stock Option (right to buy) | $5.00 | M | 439 | Disposed | 2024-04-17 | Common Stock (439) | Direct |
Footnotes
F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 20, 2020.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.72, inclusive. The reporting person undertakes to provide to Cue Biopharma, Inc., any security holder of Cue Biopharma, Inc., 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 ranges set forth in this footnote (2) to this Form 4.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.05 to $15.22, inclusive. The reporting person undertakes to provide to Cue Biopharma, Inc., any security holder of Cue Biopharma, Inc., 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 ranges set forth in this footnote (3) to this Form 4.
F4: The option, representing a right to purchase a total of 150,000 shares, vests in four equal annual installments beginning December 31, 2017.