| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CASI | Common Stock | Purchase | $198,000 | +200,000 | +3.9% | $0.9900* | 5,362,569 | 17 Nov 2021 | Direct | F1 |
| transaction | CASI | Common Stock | Purchase | $196,000 | +200,000 | +3.7% | $0.9800* | 5,558,472 | 18 Nov 2021 | Direct | F1 |
| holding | CASI | Common Stock | 3,000,000 | 17 Nov 2021 | See Footnote | F2 | |||||
| holding | CASI | Common Stock | 7,532,347 | 17 Nov 2021 | See Footnote | F3 | |||||
| holding | CASI | Common Stock | 441,072 | 17 Nov 2021 | See Footnote | F4 |
| Id | Content |
|---|---|
| F1 | The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $0.98 to $1.00 per share on November 17, 2021 and $0.96 to $1.00 per shares on November 18, 2021. The Reporting Person undertakes to provide to the issuer, or any shareholder of the issuer, 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 range set forth in this footnote. |
| F2 | The shares are held indirectly in the name of ETP BioHealth III Fund, LP, a limited partnership of which the Reporting Person is the managing member of the general partner. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest therein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or any other purposes. |
| F3 | The shares are held indirectly in the name of ETP Global Fund LP, a limited partnership of which the Reporting Person is the managing member of the general partner. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest therein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or any other purposes. |
| F4 | The shares are held indirectly in the name of Emerging Technology Partners, LLC, an LLC entity of which the Reporting Person is the managing member. The Reporting Person disclaims beneficial ownership over any shares held indirectly, except to the extent of his pecuniary interest thein and his filing is not an admission that the Reporting Person is the beneficial owner of these shares for the purposes of Section 16 or any other purposes. |
Power of Attorney