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SELLAS Life Sciences Group, Inc. — Director's Dealing 2014
Jan 30, 2014
33651_dirs_2014-01-29_9bf43170-bf9e-4aa1-a0e2-ab8e8dbdc4ad.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Galena Biopharma, Inc. (GALE)
CIK: 0001390478
Period of Report: 2014-01-27
Reporting Person: Ahn Mark J (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-01-27 | Common Stock | M | 50000 | $2.31 | Acquired | 163764 | Direct |
| 2014-01-27 | Common Stock | M | 100000 | $1.38 | Acquired | 263764 | Direct |
| 2014-01-27 | Common Stock | M | 324890 | $1.38 | Acquired | 588654 | Direct |
| 2014-01-27 | Common Stock | M | 200000 | $0.72 | Acquired | 788654 | Direct |
| 2014-01-27 | Common Stock | M | 121875 | $1.71 | Acquired | 918529 | Direct |
| 2014-01-27 | Common Stock | S | 796765 | $4.83 | Disposed | 113764 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-01-27 | Stock Option | $2.31 | M | 50000 | Disposed | 2021-01-13 | Common Stock (50000) | Direct |
| 2014-01-27 | Stock Option | $1.38 | M | 100000 | Disposed | 2021-03-30 | Common Stock (100000) | Direct |
| 2014-01-27 | Stock Option | $1.38 | M | 324890 | Disposed | 2021-03-30 | Common Stock (324890) | Direct |
| 2014-01-27 | Stock Option | $0.72 | M | 200000 | Disposed | 2022-01-12 | Common Stock (200000) | Direct |
| 2014-01-27 | Stock Option | $1.71 | M | 121875 | Disposed | 2023-01-29 | Common Stock (121875) | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.82 to $5.09 per share. The reporting person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2: The option vests on a quarterly basis over four years, commencing on the last day of the quarter after the date of grant (1/13/11).
F3: The option vests on a quarterly basis over four years, commencing on the last day of the quarter after the date of grant (3/31/11).
F4: The option vests on a quarterly basis over four years, commencing on the last day of the quarter after the date of grant (1/12/12).
F5: The option vests on a quarterly basis over four years, commencing on the last day of the quarter after the date of grant (1/29/13).