Wei-Wu He - Nov 17, 2021 Form 4 Insider Report for CASI Pharmaceuticals, Inc. (CASI)

Role: Chairman and CEO, Director
Signature: /s/ Amanda Cui, attorney-in-fact for Wei-Wu He
Stock symbol: CASI
Transactions as of: Nov 17, 2021
Transactions value $: $394,000
Form type: 4
Date filed: 11/19/2021, 03:10 PM
Previous filing: Aug 20, 2021
Next filing: Jun 17, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CASI	Common Stock	Purchase	$198K	+200K	+3.87%	$0.99^*	5.36M	Nov 17, 2021	Direct	F1
transaction	CASI	Common Stock	Purchase	$196K	+200K	+3.73%	$0.98^*	5.56M	Nov 18, 2021	Direct	F1
holding	CASI	Common Stock						3M	Nov 17, 2021	See Footnote	F2
holding	CASI	Common Stock						7.53M	Nov 17, 2021	See Footnote	F3
holding	CASI	Common Stock						441K	Nov 17, 2021	See Footnote	F4

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

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.

Remarks:

Power of Attorney