SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): April 8, 2020
Bellicum Pharmaceuticals, Inc.
(Exact name of registrant as specified in its charter)
(State or other jurisdiction
2130 W. Holcombe Blvd., Ste. 800
(Address of principal executive offices)
Registrant’s telephone number, including area code: 832-384-1100
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Name of each exchange on which registered
Common Stock, par value $0.01 per share
The Nasdaq Global Market
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company o
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On April 8, 2020, the Compensation Committee of the Board of Directors of Bellicum Pharmaceuticals, Inc. (the “Company”) approved a retention program pursuant to which certain of the Company’s executive officers were granted restricted stock units (the “Executive RSUs”) pursuant to the Company’s 2019 Equity Incentive Plan (the “Plan”) and non-executive employees became entitled to receive a combination of cash payments and grants of RSUs on substantially the same terms as the Executive RSUs (the “Retention Program”). Pursuant to the Retention Program, Atabak Mokari, Chief Financial Officer, was granted a restricted stock unit covering 21,792 shares of common stock and Shane M. Ward, Chief Legal and Strategy Officer, was granted a restricted stock unit covering 21,864 shares of common stock. The restricted stock units granted pursuant to the Retention Program will vest, in full, on the one year anniversary of the grant date, subject to continued service to the Company as a full-time employee as of such date.
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Bellicum Pharmaceuticals, Inc.
Dated: April 13, 2020
/s/ Richard A. Fair
Richard A. Fair
President and Chief Executive Officer