CASI Depositi SEC - CASI Pharmaceuticals, Inc.- Relazione annuale, dichiarazione di delega, prospetto informativo

Statistiche di base

LEI	549300RYDG4U21PJZ263
CIK	895051

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to CASI Pharmaceuticals, Inc.

SEC Filings (Chronological Order)

Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.

February 20, 2024	SC 13D/A	CASI / CASI Pharmaceuticals, Inc. / SPARKLE BYTE LTD - FORM SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) G1933S101 (CUSIP Number) Dongliang Lin 6/F, Tower A, COFCO Plaza 8 Jianguomennei Avenue Beijing 100005, P. R. China +86 10 8590 1885 Copies to: Ann
February 20, 2024	EX-99.4	JOINT FILING AGREEMENT February 20, 2024 Exhibit 99.4 JOINT FILING AGREEMENT February 20, 2024 In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree (i) to the joint filing, on behalf of each of them, of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, par value $0.01 per share of CASI Pharmaceuticals, Inc., a Delawar
April 26, 2023	EX-4.20	Labor Contract Renewal Letter between CASI Pharmaceuticals (China) Co., Ltd. and Wei (Larry) Zhang dated August 31, 2021 Exhibit 4.20 Certain confidential information contained in this document, marked by brackets and *** asterisk, has been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K, because it (i) is not material and (ii) would be competitively harmful if publicly disclosed. Labor Contract Renewal Letter Party A (Employer): CASI Pharmaceuticals (China) Co., Ltd. Legal representative or entrusted agen
April 26, 2023	EX-2.2	Description of rights of each class of securities registered under Section 12 of the Securities Exchange Act of 1934 Exhibit 2.2 Description of Ordinary Shares General All of our issued and outstanding ordinary shares will be issued, credited as fully paid and non-assessable. Our ordinary shares are issued in registered form, and are issued when registered in our register of members. We may not issue shares to bearer. Our shareholders who are non-residents of the Cayman Islands may freely hold and transfer their
April 26, 2023	EX-13.1	CEO Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 Exhibit 13.1 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of CASI Pharmaceuticals, Inc. (the “Company”) on Form 20-F for the fiscal year ended December 31, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Wei-Wu He, as Chief Executive Officer
April 26, 2023	EX-11.1	Code of Business Conduct and Ethics of the Registrant Exhibit 11.1 CODE OF ETHICS Employees, Directors and Consultants This Code of Ethics sets forth and summarizes certain policies of CASI Pharmaceuticals, Inc., its subsidiaries and divisions (collectively “CASI” or the “Company”) related to legal compliance and ethical business practices, and is intended to qualify as a “code of ethics” within the meaning of Section 406 of the Sarbanes-Oxley Act of
April 26, 2023	EX-12.2	CFO Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.2 Certification by the Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Wei (Larry) Zhang, certify that: 1. I have reviewed this Annual Report on Form 20-F of CASI Pharmaceuticals, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements m
April 26, 2023	EX-12.1	CEO Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.1 Certification by the Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Wei-Wu He, certify that: 1. I have reviewed this Annual Report on Form 20-F of CASI Pharmaceuticals, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in
April 26, 2023	20-F	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F (Mark One) ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)
April 26, 2023	EX-4.30	Exclusive Distribution Agreement, effective as of March 2, 2022, by and among CASI Pharmaceuticals, Inc, China Resources Guokang Pharmaceuticals Co., Ltd. and CASI (Beijing) Biopharmaceuticals Technology Co., Ltd. Exhibit 4.30 Proprietary and Confidential Certain confidential information contained in this document, marked by brackets and *** asterisk, has been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K, because it (i) is not material and (ii) would be competitively harmful if publicly disclosed. EXCLUSIVE DISTRIBUTION AGREEMENT This Exclusive Distribution Agreement (“the Agreement”) is entere
April 26, 2023	EX-15.1	Consent of KPMG Huazhen LLP Exhibit 15.1 Consent of Independent Registered Public Accounting Firm We consent to the incorporation by reference in the registration statements (No. 333-222043, 333-228980, 333-188042 and 333-258819) on Form S-8 of our report dated April 26, 2023, with respect to the consolidated financial statements of CASI Pharmaceuticals, Inc. /s/ KPMG Huazhen LLP Beijing, China April 26, 2023
April 26, 2023	EX-13.2	CFO Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 Exhibit 13.2 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of CASI Pharmaceuticals, Inc. (the “Company”) on Form 20-F for the fiscal year ended December 31, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Wei (Larry) Zhang, as Presedent and P
March 22, 2023	15-12G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 000-20713 CASI Pharmaceuticals, Inc.* (Exact name of registrant as specified
March 21, 2023	POS AM	As filed with the Securities and Exchange Commission on March 21, 2023 As filed with the Securities and Exchange Commission on March 21, 2023 Registration No.
March 21, 2023	S-8 POS	As filed with the Securities and Exchange Commission on March 21, 2023 As filed with the Securities and Exchange Commission on March 21, 2023 Registration No.
March 21, 2023	S-8 POS	As filed with the Securities and Exchange Commission on March 21, 2023 As filed with the Securities and Exchange Commission on March 21, 2023 Registration No.
March 21, 2023	S-8 POS	As filed with the Securities and Exchange Commission on March 21, 2023 As filed with the Securities and Exchange Commission on March 21, 2023 Registration No.
March 21, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2023 CASI PHARMACEUTICA UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2023 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commi
March 21, 2023	S-8 POS	As filed with the Securities and Exchange Commission on March 21, 2023 As filed with the Securities and Exchange Commission on March 21, 2023 Registration No.
February 21, 2023	SC 13D/A	CASI / CASI Pharmaceuticals Inc / Ho Chi Sing - FORM SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D (Amendment No.
February 14, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive
February 9, 2023	SC 13G/A	US14757U2087 / CASI Pharmaceuticals Inc / FEDERATED HERMES, INC. Passive Investment SC 13G/A 1 form878.htm OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ….11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3*) CASI PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 14757U208 (CUSIP Number) January 31, 2023 (Date of Event Wh
February 1, 2023	SC 13G/A	US14757U2087 / CASI Pharmaceuticals Inc / FEDERATED HERMES, INC. Passive Investment OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ….11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2*) CASI PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 14757U208 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of
January 31, 2023	EX-2.1	Agreement and Plan of Merger, dated January 31, 2023 by and between CASI Pharmaceuticals, Inc. and CASI Pharmaceuticals Holdings, Inc. Exhibit 2.1    AGREEMENT AND PLAN OF MERGER between CASI PHARMACEUTICALS, INC. and CASI Pharmaceuticals Holdings, Inc. Dated as of January 31, 2023 AGREEMENT AND PLAN OF MERGER This AGREEMENT AND PLAN OF MERGER (this “Agreement”), dated as of January 31, 2023, is entered into by and between CASI Pharmaceuticals, Inc., a Delaware corporation (“CASI”), and CASI Pharmaceuticals Holdings, Inc., an exe
January 31, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2023 CASI PHARMACEUTI UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2023 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Com
January 19, 2023	CORRESP	CASI PHARMACEUTICALS, INC. 9620 Medical Center Drive, Suite 300 Rockville, MD, 20850 CASI PHARMACEUTICALS, INC. 9620 Medical Center Drive, Suite 300 Rockville, MD, 20850 January 19, 2023 VIA EDGAR Ms. Christine Torney Mr. Kevin W. Vaughn Ms. Ada Sarmento Mr. Joe McCann Division of Corporation Finance Office of Life Sciences Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: CASI Pharmaceuticals, Inc. Form 10-K for the Fiscal Year Ended December 31, 20
December 16, 2022	CORRESP	CASI PHARMACEUTICALS, INC. 9620 Medical Center Drive, Suite 300 Rockville, MD, 20850 CASI PHARMACEUTICALS, INC. 9620 Medical Center Drive, Suite 300 Rockville, MD, 20850 December 16, 2022 VIA EDGAR Ms. Christine Torney Mr. Kevin W. Vaughn Ms. Ada Sarmento Mr. Joe McCann Division of Corporation Finance Office of Life Sciences Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: CASI Pharmaceuticals, Inc. Form 10-K for the Fiscal Year Ended December 31, 2
November 14, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .
November 14, 2022	EX-10.1	Equity Transfer Agreement between CASI Biopharmaceuticals (Wuxi) Co., Ltd. and Shenzhen Jiadao Gongcheng Equity Investment Fund (Limited Partnership) dated September 22, 2022 Exhibit 10.1 ? Certain confidential information contained in this document, marked by brackets and *** asterisk, has been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K, because it (i) is not material and (ii) would be competitively harmful if publicly disclosed. ? ?????????????? CASI Biopharmaceuticals (Wuxi) Co., Ltd. ? AND ?????????????????? Shenzhen Jiadao Gongcheng Equity Investmen
November 14, 2022	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES THIRD QUARTER 2022 FINANCIAL RESULTS Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES THIRD QUARTER 2022 FINANCIAL RESULTS ROCKVILLE, MD. and BEIJING, China (November 14, 2022) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today reported financial results for the third quarter of 2022. We
November 14, 2022	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 CASI PHARMACEUT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Co
September 23, 2022	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES EXIT OF JUVENTAS INVESTMENT TO STRENGTHEN BALANCE SHEET Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES EXIT OF JUVENTAS INVESTMENT TO STRENGTHEN BALANCE SHEET ROCKVILLE, MD. and BEIJING, China (September 23, 2022) CASI Pharmaceuticals, Inc. (NASDAQ: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products (?CASI?), today announced that CASI Biopharmace
September 23, 2022	8-K	Financial Statements and Exhibits, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware (State or other jurisdiction of incorporation or organization) 0-20713 (C
August 12, 2022	EX-10.3	Commercial Security Agreement between CASI Pharmaceuticals, Inc. and East West Bank, dated May 23, 2022 (incorporated by reference to Exhibit 10.3 to CASI Delaware’s Form 10-Q filed on August 12, 2022) Exhibit 10.3 ? COMMERCIAL SECURITY AGREEMENT ? ? ? ? ? ? Grantor: CASI PHARMACEUTICALS, INC Lender: East West Bank ? ? 9620 MEDICAL CENTER DR, STE 300 ? Loan Servicing Department ? ? ROCKVILLE, MD 20850 ? 9300 Flair Drive, 6th Floor El ? ? ? ? Monte, CA 91731 ? THIS COMMERCIAL SECURITY AGREEMENT dated May 18, 2022, is made and executed between CASI PHARMACEUTICALS, INC ("Grantor") and East West Ba
August 12, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Comm
August 12, 2022	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES SECOND QUARTER 2022 FINANCIAL RESULTS Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES SECOND QUARTER 2022 FINANCIAL RESULTS ROCKVILLE, MD. and BEIJING, China (August 12, 2022) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today reported financial results for the second quarter of 2022. We
August 12, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? ? ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? ? For the quarterly period ended June 30, 2022 ? ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? For the transition period from to .
August 12, 2022	EX-10.4	Commercial Pledge Agreement between CASI Pharmaceuticals, Inc. and East West Bank, dated May 23, 2022 (incorporated by reference to Exhibit 10.4. to CASI Delaware’s Form 10-Q filed on August 12, 2022) Exhibit 10.4 COMMERCIAL PLEDGE AGREEMENT ? Certain confidential information contained in this document, marked by brackets and asterisk, has been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K, because it (i) is not material and (ii) would be competitively harmful if publicly disclosed. ? ? ? Grantor: CASI PHARMACEUTICALS, INC 9620 MEDICAL CENTER DR, STE 300 ROCKVILLE, MD 20850 Lender:
August 12, 2022	EX-4.1	Promissory Note issued by CASI Pharmaceuticals, Inc. to East West Bank, dated May 23, 2022 (incorporated by reference to Exhibit 4.1 to CASI Delaware’s Form 10-Q filed on August 12, 2022) Exhibit 4.1 ? Certain confidential information contained in this document, marked by brackets and asterisk, has been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K, because it (i) is not material and (ii) would be competitively harmful if publicly disclosed. ? PROMISSORY NOTE ? ? ? ? ? Borrower: CASI PHARMACEUTICALS, INC Lender: East West Bank ? 9620 MEDICAL CENTER DR, STE 300 ? Loan Se
August 12, 2022	EX-10.2	Business Loan Agreement between CASI Pharmaceuticals, Inc. and East West Bank, dated May 23, 2022 (incorporated by reference to Exhibit 10.2 to CASI Delaware’s Form 10-Q filed on August 12, 2022) ? Exhibit 10.2 Certain confidential information contained in this document, marked by brackets and asterisk, has been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K, because it (i) is not material and (ii) would be competitively harmful if publicly disclosed. BUSINESS LOAN AGREEMENT Borrower: CASI PHARMACEUTICALS, INC 9620 MEDICAL CENTER DR, STE 300 ROCKVILLE, MD 20850 Lender: East West
August 12, 2022	EX-10.1	Sublicense Agreement between CASI Pharmaceuticals, Inc. and Beijing Tianshi Tongda Pharmaceuticals Technology Co., Ltd, dated May 23, 2022 (incorporated by reference to Exhibit 10.1 to CASI Delaware’s Form 10-Q filed on August 12, 2022) Exhibit 10.1 Execution Version ? INFORMATION IN THIS EXHIBIT IDENTIFIED BY BRACKETS IS CONFIDENTIAL AND HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K BECAUSE IT (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO CASI PHARMACEUTIALCS, INC. IF PUBLICLY DISCLOSED. *** TRIPLE ASTERIKS DENOTE OMISSIONS ? ? SUBLICENSE AGREEMENT ? ? by and between ? ? CASI PHARMACEU
June 21, 2022	EX-99.1	Joint Filing Agreement by and among ETP Global Fund L.P., Emerging Technology Partners LLC, ETP BioHealth III Fund, L.P., Huiying Memorial Foundation, and Wei-Wu He, Ph.D. dated June 21, 2022 Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $.01 par value per share, of CASI Pharmaceuticals, Inc., a Delaware corpora
June 21, 2022	SC 13D/A	CASI / CASI Pharmaceuticals Inc / He Wei-Wu - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Information to be included in statements filed pursuant to ? 240.13d-1(a) and amendments thereto filed pursuant to ? 240.13d-2(a) (Amendment No. 6) CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 14757U 208 (CUSIP Number) Wei-Wu He Ph.D. Emerging Technology P
May 26, 2022	EX-3.1	Certificate of Amendment to the Company’s Amended and Restated Certificate of Incorporation Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CASI PHARMACEUTICALS, INC. CASI Pharmaceuticals, Inc. (the ?Corporation?), a corporation organized and existing under the General Corporation Law of the State of Delaware, does hereby certify: FIRST: That the Board of Directors of the Corporation has duly adopted resolutions (i) authorizing the Corporation
May 26, 2022	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commiss
May 26, 2022	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES REVERSE STOCK SPLIT Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES REVERSE STOCK SPLIT ROCKVILLE, MD. and BEIJING, China (May 26, 2022) CASI Pharmaceuticals, Inc. (NASDAQ: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today announced it has filed a Certificate of Amendment to its Amended and Restated Cert
May 25, 2022	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commiss
May 25, 2022	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commiss
May 24, 2022	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commiss
May 24, 2022	EX-99.1	CASI PHARMACEUTICALS ENTERS INTO SUBLICENSE AGREEMENT WITH TIANSHI PHARMACEUTICALS FOR ANTI-CD38 MONOCLONAL ANTIBODY (MAB) CID-103 IN AUTOIMMUNE FIELD ~ CASI to receive upfront payment of $10 million in two installments ~ ~ CASI through its wholly-ow Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ENTERS INTO SUBLICENSE AGREEMENT WITH TIANSHI PHARMACEUTICALS FOR ANTI-CD38 MONOCLONAL ANTIBODY (MAB) CID-103 IN AUTOIMMUNE FIELD ~ CASI to receive upfront payment of $10 million in two installments ~ ~ CASI through its wholly-owned PRC subsidiary, will hold 15% equity of TIANSHI ~ ROCKVILLE, MD. and BEIJING, China (May 24, 2022) CASI P
May 24, 2022	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commiss
May 12, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? ? ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? ? For the quarterly period ended March 31, 2022 ? ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? For the transition period from to .
May 12, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commiss
May 12, 2022	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES FIRST QUARTER 2022 FINANCIAL RESULTS Exhibit 99.1 www.casipharmaceuticals.co CASI PHARMACEUTICALS ANNOUNCES FIRST QUARTER 2022 FINANCIAL RESULTS ROCKVILLE, MD. and BEIJING, China (May 12, 2022) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today reported financial results for the first quarter of 2022. Wei-Wu H
May 2, 2022	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commissi
April 15, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive
April 4, 2022	PRE 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: x Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive
March 28, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commi
March 28, 2022	EX-21	Subsidiaries of the Registrant ** Exhibit 21 ? Subsidiaries of the Registrant ? CASI Pharmaceuticals (China) Co., Ltd, a company of limited liability, incorporated and existing under the laws of the People?s Republic of China ? Beijing Zhongbai Biotechnology Co., Ltd. (also known as Beijing Zhongbio Therapeutics, Ltd.), a company of limited liability, incorporated and existing under the laws of the People?s Republic of China ? Mii
March 28, 2022	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES FULL-YEAR 2021 FINANCIAL RESULTS AND FOURTH QUARTER 2021 EVOMELA® REVENUE ~ EVOMELA® (melphalan for injection) Fourth Quarter 2021 Revenue Continues Strong Upward Trend, exceeding guidance~ Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES FULL-YEAR 2021 FINANCIAL RESULTS AND FOURTH QUARTER 2021 EVOMELA? REVENUE ~ EVOMELA? (melphalan for injection) Fourth Quarter 2021 Revenue Continues Strong Upward Trend, exceeding guidance~ ROCKVILLE, MD. and BEIJING, China (March 28, 2022) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on
March 28, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 FORM 10-K Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
March 4, 2022	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commis
March 4, 2022	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES RENEWAL OF EXCLUSIVE DISTRIBUTION AGREEMENT FOR EVOMELA® IN CHINA www.casipharmaceuticals.com Exhibit 99.1 CASI PHARMACEUTICALS ANNOUNCES RENEWAL OF EXCLUSIVE DISTRIBUTION AGREEMENT FOR EVOMELA? IN CHINA ROCKVILLE, MD. and BEIJING, China (March 4, 2022) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, announced today, that the Company has ent
February 16, 2022	8-K	Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2022 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Co
February 16, 2022	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES PRELIMINARY FOURTH QUARTER AND FULL-YEAR 2021 REVENUES AND PROVIDES BUSINESS UPDATES Expects to Report EVOMELA® (melphalan for injection) Fourth Quarter 2021 Unaudited Revenue of Approximately $9.12 Million and Full-Yea Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES PRELIMINARY FOURTH QUARTER AND FULL-YEAR 2021 REVENUES AND PROVIDES BUSINESS UPDATES Expects to Report EVOMELA? (melphalan for injection) Fourth Quarter 2021 Unaudited Revenue of Approximately $9.12 Million and Full-Year 2021 Unaudited Revenue of Approximately $30 Million, exceeding guidance Pipeline Assets Continue to Progres
February 14, 2022	SC 13G/A	AMPH / Amphastar Pharmaceuticals Inc / FEDERATED HERMES, INC. Passive Investment OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ?.11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1*) CASI PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 03209R103 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of
February 14, 2022	SC 13G/A	CASI / CASI Pharmaceuticals Inc / Consonance Capital Management LP - CONSONANCE CAPITAL MANAGEMENT LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* CASI PHARMACEUTICALS INC (Name of Issuer) Common Stock $.01 Par Value (Title of Class of Securities) 14757U109 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua
January 3, 2022	EX-99.1	CASI PHARMACEUTICALS, RECEIVES NASDAQ DEFICIENCY NOTICE www.casipharmaceuticals.com Exhibit 99.1 CASI PHARMACEUTICALS, RECEIVES NASDAQ DEFICIENCY NOTICE ROCKVILLE, MD., and BEIJING (January 3, 2022) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today announced that on December 30, 2021 CASI received a deficiency letter from the L
January 3, 2022	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Co
December 17, 2021	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 17, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Co
December 17, 2021	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES STOCK REPURCHASE PROGRAM Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES STOCK REPURCHASE PROGRAM ROCKVILLE, MD. and BEIJING, China (December 17th, 2021) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), (the ?Company? or ?CASI?), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today announced that its board of directors appro
December 10, 2021	EX-10.1	Amendment No. 1 to Employment Agreement (filed herewith). Exhibit 10.1 FIRST AMENDMENT TO EMPLOYMENT AGREEMENT This First Amendment to the Employment Agreement is entered into and is effective as of December 9, 2021, by and between CASI PHARMACEUTICALS, INC., a Delaware corporation having its principal office at 9620 Medical Center Drive, Suite 300, Rockville, MD 20850 (the ?Company?) and ALEXANDER ZUKIWSKI (?Executive?). RECITALS WHEREAS, the Company an
December 10, 2021	EX-10.3	First Amendment to Change in Control Agreement by and between CASI Pharmaceuticals, Inc.and Alexander Zukiwski (incorporated by reference to Exhibit 10.3 to CASI Delaware’s Form 8-K filed on December 10, 2021) Exhibit 10.3 FIRST AMENDMENT TO CHANGE IN CONTROL AGREEMENT This First Amendment to the Change in Control Agreement is entered into and is effective as of December 9, 2021, by and between CASI PHARMACEUTICALS, INC., (the ?Company?) and ALEXANDER ZUKIWSKI (?Executive?). RECITALS WHEREAS, the Company and Executive previously entered into that certain Change in Control Agreement dated April 3, 2017 (
December 10, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Com
November 23, 2021	EX-99.1	JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $.01 par value per share, of CASI Pharmaceuticals, Inc., a Delaware corpora
November 23, 2021	SC 13D/A	CASI / CASI Pharmaceuticals Inc / He Wei-Wu - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a) (Amendment No. 5) CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 14757U 109 (CUSIP Number) Wei-Wu He Ph.D. Emerging Technology P
November 12, 2021	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES THIRD QUARTER 2021 FINANCIAL RESULTS -EVOMELA Third Quarter 2021 Revenue Continues Strong Upward Trend – - Additional Positive Clinical Data on BI-1206 - - Partner Juventas completed Series C financing round RMB410 mill Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES THIRD QUARTER 2021 FINANCIAL RESULTS -EVOMELA Third Quarter 2021 Revenue Continues Strong Upward Trend ? - Additional Positive Clinical Data on BI-1206 - - Partner Juventas completed Series C financing round RMB410 million (approximately $63 million USD) - - Company to host Conference Call Today at 8:00 AM. ET - ROCKVILLE, MD.
November 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? ? ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? ? For the quarterly period ended September 30, 2021 ? ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? For the transition period from to .
November 12, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Co
October 29, 2021	424B5	$20,000,000 Common Stock 424B5 1 tm2130536-1424b5.htm 424B5 TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-250801 PROSPECTUS SUPPLEMENT (To Prospectus dated December 2, 2020) $20,000,000 Common Stock We have entered into a common stock sales agreement (“sales agreement”), with H.C. Wainwright & Co., LLC (“Wainwright”), relating to shares of our common stock, $0.01 par value per share, offered
October 29, 2021	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 000-20713 (C
October 29, 2021	EX-1.1	Common Stock Sales Agreement, dated October 29, 2021, by and between CASI Pharmaceuticals, Inc. and H.C. Wainwright & Co., LLC (incorporated by reference to Exhibit 1.1 on our Form 8-K filed with the Securities and Exchange Commission on October 29, 2021) EX-1.1 2 tm2131374d1ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 CASI PHARMACEUTICALS, inc. cOMMON STOCK SALES AGREEMENT October 29, 2021 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: CASI Pharmaceuticals, Inc. (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (“HCW”), as follows: 1. Issuance and Sale of Placement Shares. The Comp
August 13, 2021	S-8 POS	As filed with the Securities and Exchange Commission on August 13, 2021 As filed with the Securities and Exchange Commission on August 13, 2021 File No. 333-228980 File No. 333-222043 File No. 333-188042 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO.1 TO FORM S-8 REGISTRATION STATEMENT (File No. 333-228980) POST-EFFECTIVE AMENDMENT NO.1 TO FORM S-8 REGISTRATION STATEMENT (File No. 333-222043) POST-EFFECTIVE AMENDME
August 13, 2021	S-8	As filed with the Securities and Exchange Commission on August 13, 2021 As filed with the Securities and Exchange Commission on August 13, 2021 File No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CASI PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 58-1959440 (State or other jurisdiction of incorporation or organization) (I.R.S. Empl
August 13, 2021	S-8 POS	As filed with the Securities and Exchange Commission on August 13, 2021 As filed with the Securities and Exchange Commission on August 13, 2021 File No. 333-228980 File No. 333-222043 File No. 333-188042 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO.1 TO FORM S-8 REGISTRATION STATEMENT (File No. 333-228980) POST-EFFECTIVE AMENDMENT NO.1 TO FORM S-8 REGISTRATION STATEMENT (File No. 333-222043) POST-EFFECTIVE AMENDME
August 13, 2021	S-8 POS	As filed with the Securities and Exchange Commission on August 13, 2021 As filed with the Securities and Exchange Commission on August 13, 2021 File No. 333-228980 File No. 333-222043 File No. 333-188042 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO.1 TO FORM S-8 REGISTRATION STATEMENT (File No. 333-228980) POST-EFFECTIVE AMENDMENT NO.1 TO FORM S-8 REGISTRATION STATEMENT (File No. 333-222043) POST-EFFECTIVE AMENDME
August 12, 2021	EX-10.4	Form of CASI Pharmaceuticals Inc. 2021 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement (for Optionees in the US)* ** Exhibit 10.4 OPTIONEE: DATE OF GRANT: EXERCISE PRICE: COVERED SHARES: ? (FOR OPTIONEES IN U.S.) ? CASI Pharmaceuticals, Inc. 2021 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement ? 1.Definitions. Definitions for defined terms used in this Agreement are provided under Section 11 below. 2.Grant of Option. Pursuant to the Plan and subject to the terms of this Agreement, the Corpora
August 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? ? ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? ? For the quarterly period ended June 30, 2021 ? ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? For the transition period from to .
August 12, 2021	EX-10.1	Form of CASI Pharmaceuticals Inc. Performance-Contingent 2021 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement (for Optionees in China) * ** Exhibit 10.1 ? OPTIONEE: DATE OF GRANT: EXERCISE PRICE: COVERED SHARES: PERFORMANCE-CONTINGENT STOCK OPTIONS (For Optionees in China) CASI Pharmaceuticals, Inc. 2021 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement 1.Definitions. Definitions for defined terms used in this Agreement are provided under Section 11 below. 2.Grant of Option. Pursuant to the Plan and subject to the te
August 12, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Comm
August 12, 2021	EX-10.2	Form of CASI Pharmaceuticals Inc. 2021 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement (for Optionees in China)* ** ? Exhibit 10.2 ? OPTIONEE: DATE OF GRANT: EXERCISE PRICE: COVERED SHARES: ? (FOR OPTIONEES IN CHINA) ? CASI Pharmaceuticals, Inc. 2021 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement ? 1. Definitions. Definitions for defined terms used in this Agreement are provided under Section 11 below. 2. Grant of Option. Pursuant to the Plan and subject to the terms of this Agreement, the
August 12, 2021	EX-10.3	Form of CASI Pharmaceuticals Inc. Performance-Contingent 2021 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement (for Optionees in the US) * ** Exhibit 10.3 ? OPTIONEE: DATE OF GRANT: EXERCISE PRICE: COVERED SHARES: PERFORMANCE-CONTINGENT STOCK OPTIONS ? (FOR OPTIONEES IN U.S.) ? CASI Pharmaceuticals, Inc. 2021 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement ? 1.Definitions. Definitions for defined terms used in this Agreement are provided under Section 10 below. 2.Grant of Option. Pursuant to the Plan and subject to t
August 12, 2021	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES SECOND QUARTER 2021 FINANCIAL RESULTS -EVOMELA Second Quarter 2021 Revenue Continues Upward Trend; Revenue Growth Guidance in 2021 Revised to Exceed 80% Over 2020- - CID-103 Reaches Milestone with Dosing of First Patien Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES SECOND QUARTER 2021 FINANCIAL RESULTS -EVOMELA Second Quarter 2021 Revenue Continues Upward Trend; Revenue Growth Guidance in 2021 Revised to Exceed 80% Over 2020- - CID-103 Reaches Milestone with Dosing of First Patient ? -Notice of Patent Allowance Issued in China for BI-1206 - - Company to host Conference Call Today at 8:00
July 28, 2021	8-K	Financial Statements and Exhibits, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commis
June 21, 2021	8-K/A	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 TO FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organizati
June 16, 2021	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commis
June 7, 2021	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive
June 2, 2021	PX14A6G	Name of Registrant CASI Pharmaceuticals, Inc. Name of Registrant CASI Pharmaceuticals, Inc. Name of persons relying on exemption: California Public Employees Retirement System (CalPERS) Address of persons relying on exemption: 400 Q Street, Sacramento, CA 95811 Written materials are submitted pursuant to Rule 14a-6(g)(1) promulgated under the Securities Exchange Act of 1934. Submission is not required of this filer under the terms of the Rule
May 13, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? ? ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? ? For the quarterly period ended March 31, 2021 ? ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? For the transition period from to .
May 13, 2021	EX-10.1	License and Development Agreement, dated March 5, 2021, between the Company and Cleave Therapeutics Inc., (incorporated by reference to Exhibit 10.1 on our Quarterly Report on Form 10-Q filed on May 13, 2021)++ Exhibit 10.1 INFORMATION IN THIS EXHIBIT IDENTIFIED BY BRACKETS IS CONFIDENTIAL AND HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K BECAUSE IT (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO CASI PHARMACEUTICALS, INC. IF PUBLICLY DISCLOSED. *** TRIPLE ASTERISKS DENOTE OMISSIONS ? ? LICENSE AND DEVELOPMENT AGREEMENT FOR CB-5339 ? Dated March 5th, 2021 ? By an
May 13, 2021	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES FIRST QUARTER 2021 FINANCIAL RESULTS - EVOMELA First Quarter 2021 Revenue Continues Upward Trend; Poised to Meet Greater Than 50% Revenue Growth Guidance in 2021 - - Expands Pipeline with First-In-Class VCP/p97 Inhibito EX-99.1 2 tm2110957d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES FIRST QUARTER 2021 FINANCIAL RESULTS - EVOMELA First Quarter 2021 Revenue Continues Upward Trend; Poised to Meet Greater Than 50% Revenue Growth Guidance in 2021 - - Expands Pipeline with First-In-Class VCP/p97 Inhibitor for Hematological Malignancies and Solid Tumors - - Registrati
May 13, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commiss
May 10, 2021	DEF 14A	CASI Pharmaceuticals, Inc. 2021 Long Term Incentive Plan, as amended* (previously filed with, and incorporated herein by reference to the Company’s Definitive Proxy Statement filed on May 10, 2021). UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive
April 30, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): April 30, 2021 (April 27, 2021) CASI PHARMACEUTICALS, INC.
April 30, 2021	SC 13D/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 14757U109 (CUSIP Number) Kurt Gustafson Executive Vice President and Chief Financial Officer Spectrum Pharmaceuticals, Inc. 11500 South E
April 30, 2021	PRE 14A	- PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: x Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive
April 29, 2021	10-K/A	Annual Report - FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 FORM 10-K/A (Amendment No. 1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 0-20713 CASI PHARMACEUTICALS, INC. (Exact name o
March 30, 2021	EX-10.30	License and Development Agreement for BI-1206 by and between the Company and BioInvent, International AB ++ Exhibit 10.30 ? Execution Version ? INFORMATION IN THIS EXHIBIT IDENTIFIED BY BRACKETS IS CONFIDENTIAL AND HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K BECAUSE IT (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO CASI PHARMACEUTICALS, INC. IF PUBLICLY DISCLOSED. ? * TRIPLE ASTERISKS DENOTE OMISSIONS ? ? LICENSE AND DEVELOPMENT AGREEMENT FOR BI-1206 ? ? Da
March 30, 2021	EX-10.29	Offer Letter from CASI Pharmaceuticals, Inc. to Weihao Xu dated November 30, 2020, effective December 16, 2020* Exhibit 10.29 ? ? ? ? CASI Pharmaceuticals, Inc. ? ? 9620 Medical Center Drive ? ? Suite 300 ? ? Rockville, MD 20850 ? ? Office (240) 864-2600 ? ? Fax (301) 315-2437 ? ? NASDAQ: CASI ? * TRIPLE ASTERISKS DENOTE OMISSIONS ? November 30, 2020 Mr. Weihao Xu [*] [*] Dear Weihao, It is our pleasure to extend to you an offer to join CASI Pharmaceuticals, Inc. (the ?Company?). The terms of your emp
March 30, 2021	10-K	Annual Report - 10-K Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
March 30, 2021	EX-21	Subsidiaries of the Registrant ** EX-21 9 casi-20201231xex21.htm EX-21 Exhibit 21 Subsidiaries of the Registrant CASI Pharmaceuticals (China) Co., Ltd, a company of limited liability, incorporated and existing under the laws of the People’s Republic of China Beijing Zhongbai Biotechnology Co., Ltd. (also known as Beijing Zhongbio Therapeutics, Ltd.), a company of limited liability, incorporated and existing under the laws of the P
March 30, 2021	EX-4.1	The description of the Company’s common stock which is filed as Exhibit 4.1 to the Company’s Annual Report on Form 10-K for the year ended December 31, 2020, including any amendment or report filed for the purpose of updating such description. Exhibit 4.1 Description of Common Stock Registered Pursuant to Section 12(b) of the Securities Exchange Act of 1934, as amended. The following is a description of the capital stock of CASI Pharmaceuticals, Inc. (the “Company”). This description is based on the Company’s Restated Certificate of Incorporation (“Certificate of Incorporation”), the Company’s Amended and Restated By-laws (“By-laws”), a
March 30, 2021	EX-10.8	Asset Purchase Agreement dated as of January 26, 2018 by and between CASI Pharmaceuticals, Inc. and Sandoz Inc. ++** EX-10.8 6 casi-20201231xex10d8.htm EX-10.8 Exhibit 10.8 ASSET PURCHASE AGREEMENT Between CASI PHARMACEUTICALS, INC. and SANDOZ INC. Dated as of January 26, 2018 TABLE OF CONTENTS PAGE 1. DEFINITIONS. 1 2. PURCHASE AND SALE OF PURCHASED ASSETS. 5 3. ASSUMPTION OF LIABILITIES; RETAINED LIABILITIES. 7 4. PURCHASE PRICE AND PAYMENT. 9 5. CLOSING. 9 6. REPRESENTATIONS AND WARRANTIES. 10 7. INDEMNIFICAT
March 30, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commi
March 30, 2021	EX-10.4	License Agreement, dated as of September 17, 2014, by and between CASI Pharmaceuticals, Inc. and Spectrum Pharmaceuticals, Inc. ++ Exhibit 10.4 ? INFORMATION IN THIS EXHIBIT IDENTIFIED BY BRACKETS IS CONFIDENTIAL AND HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K BECAUSE IT (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO CASI PHARMACEUTICALS, INC. IF PUBLICLY DISCLOSED. ? * TRIPLE ASTERISKS DENOTE OMISSIONS LICENSE AGREEMENT This LICENSE AGREEMENT (the ?Agreement?) is effective as of
March 30, 2021	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES FULL YEAR 2020 FINANCIAL RESULTS Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES FULL YEAR 2020 FINANCIAL RESULTS ROCKVILLE, MD., and BEIJING (March 30, 2021) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today reported financial results for the year ended December 31, 2020 and provi
March 30, 2021	EX-10.5	License Agreement, dated as of September 17, 2014, by and between CASI Pharmaceuticals, Inc. and Spectrum Pharmaceuticals Cayman, L.P. ++ ? Exhibit 10.5 INFORMATION IN THIS EXHIBIT IDENTIFIED BY BRACKETS IS CONFIDENTIAL AND HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K BECAUSE IT (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO CASI PHARMACEUTICALS, INC. IF PUBLICLY DISCLOSED. * TRIPLE ASTERISKS DENOTE OMISSIONS LICENSE AGREEMENT This LICENSE AGREEMENT (the ?Agreement?) is effective as of S
March 30, 2021	EX-10.6	License Agreement, dated as of September 17, 2014, by and between CASI Pharmaceuticals, Inc. and Talon Therapeutics, Inc. ++ EX-10.6 5 casi-20201231xex10d6.htm EX-10.6 Exhibit 10.6 INFORMATION IN THIS EXHIBIT IDENTIFIED BY BRACKETS IS CONFIDENTIAL AND HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K BECAUSE IT (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO CASI PHARMACEUTICALS, INC. IF PUBLICLY DISCLOSED. * TRIPLE ASTERISKS DENOTE OMISSIONS LICENSE AGREEMENT This LICENSE AGREEME
March 26, 2021	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK EX-99.1 4 tm2110788d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK ROCKVILLE, MD, and BEIJING (March 23, 2021) - CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today announced that it h
March 26, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2021 (March 23, 2021) CASI Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-20713 58-1959440 (State or Other Jurisdiction of Inc
March 26, 2021	EX-99.2	CASI PHARMACEUTICALS ANNOUNCES PRICING OF $32,500,000 PUBLIC OFFERING OF COMMON STOCK Exhibit 99.2 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES PRICING OF $32,500,000 PUBLIC OFFERING OF COMMON STOCK ROCKVILLE, MD, and BEIJING (March 24, 2021) - CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today announced the pricing of an underwritten public of
March 26, 2021	EX-1.1	Exhibit 1.1—Underwriting Agreement, dated March 24, 2021, between CASI and Oppenheimer & Co. Inc. EX-1.1 2 tm2110788d1ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 CASI Pharmaceuticals, Inc. 15,853,658 Shares of Common Stock (par value $0.01 per share) Underwriting Agreement March 24, 2021 Oppenheimer & Co. Inc. Representative of the several Underwriters listed in Schedule A hereto c/o Oppenheimer & Co. Inc. 85 Broad Street New York, NY 10004 Ladies and Gentlemen: CASI Pharmaceuticals, Inc., a Delaware co
March 25, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2021 (March 24, 2021) CASI Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-20713 58-1959440 (State or Other Jurisdiction of Inc
March 25, 2021	424B5	15,853,658 Shares of Common Stock TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-250801 PROSPECTUS SUPPLEMENT (To Prospectus dated December 2, 2020) 15,853,658 Shares of Common Stock We are offering 15,853,658 shares of our common stock. Our common stock is listed on The Nasdaq Capital Market under the symbol “CASI”. The last reported sale price of our common stock on March 23, 2021 was $2.28 per share.
March 23, 2021	EX-99.1	RISK FACTORS Exhibit 99.1 RISK FACTORS Investing in our securities involves a high degree of risk and uncertainty. Before making an investment decision, you should carefully consider the risks described below, and all other information contained or incorporated by reference in our filings with the SEC. We expect to update these Risk Factors from time to time in the periodic and current reports that we file wit
March 23, 2021	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 23, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commi
March 23, 2021	424B5	SUBJECT TO COMPLETION, DATED MARCH 23, 2021 TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed.
March 12, 2021	EX-99.1	Corporate Presentation March 2021 Exhibit 99.1 Corporate Presentation March 2021 Disclaimer This presentation contains forward - looking statements within the meaning of the Private Securities Litigation Reform Act with respect to the outlook for expectations for future financial or business performance, strategies, expectations and goals . Forward - looking statements are subject to numerous assumptions, risks and uncertainties,
March 12, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 12, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Commi
March 8, 2021	EX-99.1	CLEAVE THERAPEUTICS LICENSES FIRST-IN-CLASS VCP/P97 INHIBITOR CB-5339 TO CASI PHARMACEUTICALS FOR GREATER CHINA REGION ~ CASI’s pipeline expanded to include first-in-class VCP/p97 inhibitor in Phase 1 for hematological malignancies and solid tumors ~ Exhibit 99.1 CLEAVE THERAPEUTICS LICENSES FIRST-IN-CLASS VCP/P97 INHIBITOR CB-5339 TO CASI PHARMACEUTICALS FOR GREATER CHINA REGION ~ CASI’s pipeline expanded to include first-in-class VCP/p97 inhibitor in Phase 1 for hematological malignancies and solid tumors ~ ~ Cleave to receive $5.5 million upfront in cash payment and $5.5 million as a convertible note with potential to receive up to $74 mill
March 8, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2021 (March 5, 2021) CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization)
February 17, 2021	SC 13G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 CASI PHARMACEUTICALS INC (Name of Issuer) Common Stock $.01 Par Value (Title of Class of Securities) 14757U109 (CUSIP Numbe UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 CASI PHARMACEUTICALS INC (Name of Issuer) Common Stock $.01 Par Value (Title of Class of Securities) 14757U109 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc
February 16, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Co
February 16, 2021	SC 13G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 CASI PHARMACEUTICALS INC (Name of Issuer) Common Stock $.01 Par Value (Title of Class of Securities) 14757U109 (CUSIP Numbe UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 CASI PHARMACEUTICALS INC (Name of Issuer) Common Stock $.01 Par Value (Title of Class of Securities) 14757U109 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc
February 16, 2021	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES Preliminary Fourth Quarter and Full-Year 2020 Revenues and Provides Business Updates ~ Expects to Report EVOMELA® (melphalan for injection) Fourth Quarter 2020 Unaudited Revenue of Approximately $4.8 Million and Full-Ye EX-99.1 2 tm216052d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES Preliminary Fourth Quarter and Full-Year 2020 Revenues and Provides Business Updates ~ Expects to Report EVOMELA® (melphalan for injection) Fourth Quarter 2020 Unaudited Revenue of Approximately $4.8 Million and Full-Year 2020 Unaudited Revenue of Approximately $15 Million, exceeding
February 12, 2021	SC 13G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _____) CASI PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) (CUSIP Numbe OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ….11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) CASI PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 03209R103 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of
February 10, 2021	EX-3.1	3.1 ─ Amended and Restated By-Laws dated September 10, 2020. Exhibit 3.1 CASI PHARMACEUTICALS, INC. AMENDED AND RESTATED BYLAWS ARTICLE 1 OFFICES The Corporation shall at all times maintain a registered office in the State of Delaware and a registered agent at that address but may have other offices located in or outside of the State of Delaware as the Board of Directors of the Corporation (the “Board”) may determine. ARTICLE 2 STOCKHOLDERS’ MEETINGS 2.1 Ti
February 10, 2021	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2021 (September 10, 2020) CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or orga
February 10, 2021	10-Q/A	Quarterly Report - FORM 10-Q/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q/A Amendment No.
February 10, 2021	EX-3.2	Amended and Restated Bylaws dated September 10, 2020 (incorporated by reference to Exhibit 3.2 of our 10-Q/A filed with the Securities and Exchange Commission on February 10, 2021) Exhibit 3.2 CASI PHARMACEUTICALS, INC. AMENDED AND RESTATED BYLAWS ARTICLE 1 OFFICES The Corporation shall at all times maintain a registered office in the State of Delaware and a registered agent at that address but may have other offices located in or outside of the State of Delaware as the Board of Directors of the Corporation (the “Board”) may determine. ARTICLE 2 STOCKHOLDERS’ MEETINGS 2.1 Ti
February 3, 2021	SC 13D/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a) (Amendment No. 4) CASI Pharmaceutic SC 13D/A 1 tm214576d1sc13da.htm SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a) (Amendment No. 4) CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 14757U 109 (CUSI
January 28, 2021	8-K	Financial Statements and Exhibits, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2021 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Com
January 28, 2021	EX-99.1	CASI PHARMACEUTICALS PARTNER, BIOINVENT, PRESENTS PHASE I/IIA DATA THAT SUGGESTS BI-1206 RESTORES ACTIVITY OF RITUXIMAB IN RELAPSED NON-HODGKIN’S LYMPHOMA PATIENTS Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS PARTNER, BIOINVENT, PRESENTS PHASE I/IIA DATA THAT SUGGESTS BI-1206 RESTORES ACTIVITY OF RITUXIMAB IN RELAPSED NON-HODGKIN’S LYMPHOMA PATIENTS · Responses in 6 out of 9 patients evaluated provide exciting evidence that BI-1206 has the potential to restore activity of rituximab in non-Hodgkin’s lymphoma patients who have relapsed after t
December 23, 2020	8-K	Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 23, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Co
December 23, 2020	EX-99.1	CASI Pharmaceuticals Announces CNCT19 (CD19 CAR-T) Receives China Breakthrough Therapy Designation EX-99.1 2 tm2038884d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 www.casipharmaceuticals.com CASI Pharmaceuticals Announces CNCT19 (CD19 CAR-T) Receives China Breakthrough Therapy Designation - Second CAR-T 19 drug in global development (and first CAR-T 19 drug developed locally in China) to receive China Breakthrough Therapy Designation - ROCKVILLE, MD., and BEIJING (December 23, 2020) CASI Pharmaceutic
December 16, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 000-20713 (
December 16, 2020	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES APPOINTMENT OF CHIEF FINANCIAL OFFICER Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES APPOINTMENT OF CHIEF FINANCIAL OFFICER ROCKVILLE, MD., and BEIJING (December 16, 2020) - CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today announces the appointment of Weihao Xu to the position of Chie
November 30, 2020	CORRESP	- CASI Pharmaceuticals, Inc. 9620 Medical Center Drive Suite 300 Rockville, MD 20850 Office (240) 864-2600 Fax (301) 315-2437 NASDAQ: CASI November 30, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Mail Stop 4546 Attn: Laura Crotty Re: CASI Pharmaceuticals, Inc. Registration Statement on Form S-3 File No. 333-250801 R
November 20, 2020	S-3	- FORM S-3 AS FILED WITH THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 20, 2020 File No.
November 19, 2020	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 18, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Co
November 19, 2020	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES PARTNER JUVENTAS COMPLETES $65 MILLION FINANCING AND INITIATES REGISTRATION STUDY FOR CNCT19 (CD19 CAR-T) CASI to Co-Commercialize CNCT19, with Additional Rights to a Second Product from Juventas’ Cell Therapy Pipeline Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES PARTNER JUVENTAS COMPLETES $65 MILLION FINANCING AND INITIATES REGISTRATION STUDY FOR CNCT19 (CD19 CAR-T) CASI to Co-Commercialize CNCT19, with Additional Rights to a Second Product from Juventas? Cell Therapy Pipeline ROCKVILLE, MD., and BEIJING (November 18, 2020) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmace
November 9, 2020	10-Q	Quarterly Report - FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .
November 9, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Com
November 9, 2020	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES THIRD QUARTER 2020 FINANCIAL RESULTS - EVOMELA Third Quarter 2020 Revenue Exceeds Expectations; Company Increasing EVOMELA Full-Year Revenue Guidance for 2020 – - Expands Pipeline with First-In-Class Anti-FcyRIIB Monocl Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES THIRD QUARTER 2020 FINANCIAL RESULTS - EVOMELA Third Quarter 2020 Revenue Exceeds Expectations; Company Increasing EVOMELA Full-Year Revenue Guidance for 2020 – - Expands Pipeline with First-In-Class Anti-FcyRIIB Monoclonal Antibody with Potential Application Across Multiple Tumor Types – -Co-Commercial Clinical Asset, CNCT-19
November 9, 2020	EX-10.2	Investment Agreement by and between Juventas Cell Therapy Ltd and CASI Biopharmaceuticals (WUXI) Co., Ltd. effective as of September 22, 2020++ (incorporated by reference to Exhibit 10.2 on our Quarterly Report on Form 10-Q filed on November 9, 2020) Exhibit 10.2 INFORMATION IN THIS EXHIBIT IDENTIFIED BY BRACKETS IS CONFIDENTIAL AND HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K BECAUSE IT (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO CASI PHARMACEUTICALS, INC. IF PUBLICLY DISCLOSED. *** Triple asterisks denote omissions INVESTMENT AGREEMENT THIS INVESTMENT AGREEMENT (this “Agreement”), dated Septembe
November 9, 2020	EX-10.1	Supplementary Agreement to the Exclusive License Agreement effective as of September 29, 2020++ (incorporated by reference to Exhibit 10.1 on our Quarterly Report on Form 10-Q filed on November 9, 2020) Exhibit 10.1 INFORMATION IN THIS EXHIBIT IDENTIFIED BY BRACKETS IS CONFIDENTIAL AND HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10)(IV) OF REGULATION S-K BECAUSE IT (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO CASI PHARMACEUTICALS, INC. IF PUBLICLY DISCLOSED. *** Triple asterisks denote omissions SUPPLEMENTARY AGREEMENT TO THE EXCLUSIVE LICENSE AGREEMENT This Supplementary Agr
October 28, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Com
October 28, 2020	EX-99.1	October 27, 2020 Exhibit 99.1 PRESS RELEASE October 27, 2020 BioInvent licenses anti-FcγRllB antibody BI-1206 to CASI Pharmaceuticals for Greater China region · CASI’s pipeline expanded to include first-in-class monoclonal antibody developed to unlock anti-cancer immunity in liquid and solid tumors · Collaboration accelerates and expands BioInvent’s global development plans for BI-1206 · BioInvent to receive $12 m
September 28, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (C
September 2, 2020	8-K	Financial Statements and Exhibits, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 27, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Comm
August 19, 2020	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Comm
August 18, 2020	SC 13D/A	CASI / CASI Pharmaceuticals, Inc. / SPECTRUM PHARMACEUTICALS INC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 14757U109 (CUSIP Number) Kurt Gustafson Executive Vice President and Chief Financial Officer Spectrum Pharmaceuticals, Inc. 1150
August 18, 2020	EX-99.1	Joint Filer Agreement, dated as of August 18, 2020, between Spectrum Pharmaceuticals, Inc. and Spectrum Pharmaceuticals Cayman, L.P. EX-99.1 EXHIBIT 99.1 JOINT FILER AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that a single Schedule 13D, or any amendment thereto, relating to the equity securities of CASI Pharmaceuticals, Inc., a Delaware corporation, shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as Exh
August 10, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) delaware (State or other jurisdiction of incorporation or organization) 0-20713 (Comm
August 10, 2020	10-Q	Quarterly Report - FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .
August 10, 2020	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES SECOND QUARTER 2020 FINANCIAL RESULTS - Company to host Conference Call Today at 4:30 p.m. ET - Exhibit 99.1 CASI PHARMACEUTICALS ANNOUNCES SECOND QUARTER 2020 FINANCIAL RESULTS - Company to host Conference Call Today at 4:30 p.m. ET - ROCKVILLE, MD., and BEIJING (August 10, 2020) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today reported financial results and busine
July 29, 2020	SC 13D/A	CASI / CASI Pharmaceuticals, Inc. / He Wei-wu - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a) (Amendment No. 3) CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 14757U 109 (CUSIP Number) Wei-Wu He Ph.D. Emerging Technology P
July 24, 2020	EX-99.2	CASI PHARMACEUTICALS ANNOUNCES PRICING OF $38,000,000 PUBLIC OFFERING OF COMMON STOCK Exhibit 99.2 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES PRICING OF $38,000,000 PUBLIC OFFERING OF COMMON STOCK ROCKVILLE, MD., and BEIJING (July 22, 2020) - CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today announced the pricing of an underwritten public of
July 24, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: July 21, 2020 (Date of earliest event reported) CASI Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-20713 58-1959440 (State or Other Jurisdiction of Incorporation or Orga
July 24, 2020	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK ROCKVILLE, MD., and BEIJING (July 21, 2020) - CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today announced that it has commenced an underwritten public offering,
July 24, 2020	EX-1.1	Underwriting Agreement dated July 22, 2020 between CASI Pharmaceuticals, Inc. and Oppenheimer & Co., Inc. (incorporated by reference from Exhibit 1.1 to our Current Report on Form 8-K filed with the Securities and Exchange Commission on July 24, 2020) Exhibit 1.1 20,000,000 Shares CASI Pharmaceuticals, Inc. Common Stock UNDERWRITING AGREEMENT July 22, 2020 Oppenheimer & Co. Inc. as Representative of the several Underwriters named in Schedule I hereto 85 Broad Street New York, NY 10004 Ladies and Gentlemen: CASI Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell
July 23, 2020	424B5	20,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-222046 PROSPECTUS SUPPLEMENT (To Prospectus dated December 22, 2017) 20,000,000 Shares of Common Stock We are offering 20,000,000 shares of our common stock. Our common stock is listed on The Nasdaq Capital Market under the symbol “CASI”. The last reported sale price of our common stock on July 21, 2020 was $2.23 per share. Investing in our sec
July 21, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities and Exchange Act of 1934 Date of Report: July 21, 2020 (Date of earliest event reported) CASI Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-20713 58-1959440 (State or Other Jurisdiction of Incorporation or Orga
July 21, 2020	EX-99.1	SUPPLEMENTAL RISK FACTORS Exhibit 99.1 SUPPLEMENTAL RISK FACTORS Our business has been and may continue to be adversely affected by the COVID-19 pandemic. In March 2020, the World Health Organization characterized the outbreak of COVID-19 as a pandemic. Due to the evolving and highly uncertain nature of this event, we cannot predict at this time the full extent to which the COVID-19 pandemic will adversely impact our busin
July 21, 2020	424B5	SUBJECT TO COMPLETION, DATED JULY 21, 2020 Filed Pursuant to Rule 424(b)(5) Registration No. 333-222046 SUBJECT TO COMPLETION, DATED JULY 21, 2020 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are no
June 17, 2020	8-K	Regulation FD Disclosure, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 16, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) DELAWARE (State or other jurisdiction of incorporation or organization) 0-20713 (Commis
May 12, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) DELAWARE (State or other jurisdiction of incorporation or organization) 0-20713 (Commiss
May 12, 2020	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES FIRST QUARTER 2020 FINANCIAL RESULTS - Company to host Conference Call Today at 4:30 p.m. ET - Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES FIRST QUARTER 2020 FINANCIAL RESULTS - Company to host Conference Call Today at 4:30 p.m. ET - ROCKVILLE, MD., and BEIJING (May 11, 2020) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and pharmaceutical products, today reported fina
May 11, 2020	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .
April 22, 2020	DEF 14A	The portions of the Company’s Definitive Proxy Statement on Schedule 14A for its 2020 Annual Stockholder’s Meeting that are deemed “filed” with the SEC on April 22, 2020. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide
March 24, 2020	SC 13D/A	CASI / CASI Pharmaceuticals, Inc. / He Wei-wu - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a) (Amendment No. 2) CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 14757U 109 (CUSIP Number) Wei-Wu He Ph.D. Emerging Technology P
March 16, 2020	EX-4.1	The description of the Company’s common stock which is filed as Exhibit 4.1to the Company’s Annual Report on Form 10-K for the year ended December 31, 2019, including any amendment or report filed for the purpose of updating such description. Exhibit 4.1 Description of Common Stock Registered Pursuant to Section 12(b) of the Securities Exchange Act of 1934, as amended. The following is a description of the capital stock of CASI Pharmaceuticals, Inc. (the “Company”). This description is based on the Company’s Restated Certificate of Incorporation (“Certificate of Incorporation”), the Company’s Amended and Restated By-laws (“By-laws”), a
March 16, 2020	EX-10.22	10.22 Contract for Assignment of the Right to the Use of the State-owned Construction Land (no. 3202842019CR0019) dated November 15, 2019 ** EX-10.22 3 tm205326d1ex10-22.htm EXHIBIT 10.22 Exhibit 10.22 Contract No.: Electronic supervision number: Contract for Assignment of the Right to the Use of the State-owned Construction Land (This shall be a draft contract) Formulated by the Ministry of Land and Resources of the People’s Republic of China and The State Administration for Industry and Commerce of the People’s Republic of China Cont
March 16, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2020 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) DELAWARE 0-20713 58-1959440 (State or other jurisdiction of incorporation or organizat
March 16, 2020	10-K	CASI / CASI Pharmaceuticals, Inc. 10-K - Annual Report - FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 0-20713 CASI PHARMACEUTICALS, INC. (Exact name of registrant as speci
March 16, 2020	EX-21	21 Subsidiaries of the Registrant ** Exhibit 21 Subsidiaries of the Registrant CASI Pharmaceuticals (China) Co., Ltd, a company of limited liability, incorporated and existing under the laws of the People’s Republic of China Beijing Zhongbai Biotechnology Co., Ltd. (also known as Beijing Zhongbio Therapeutics, Ltd.), a company of limited liability, incorporated and existing under the laws of the People’s Republic of China Miikana The
March 16, 2020	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES FULL YEAR 2019 FINANCIAL RESULTS - Company to host Conference Call Today at 4:30 p.m. ET- EX-99.1 2 tm2012410d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 www.casipharmaceuticals.com CASI PHARMACEUTICALS ANNOUNCES FULL YEAR 2019 FINANCIAL RESULTS - Company to host Conference Call Today at 4:30 p.m. ET- ROCKVILLE, MD., and BEIJING (March 16, 2020) CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing innovative therapeutics and ph
March 6, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): March 4, 2020 CASI PHARMACEUTICALS, INC.
February 20, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 19, 2020 CASI PHARMACEUTICALS, INC.
February 19, 2020	SC 13G/A	CASI / CASI Pharmaceuticals, Inc. / Wealth Strategy Holding Ltd - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. 2) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 CASI Pharmaceuticals, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 14757U 109 (CUSIP Number) December 30, 2019 (Date of E
November 26, 2019	8-K	Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): November 20, 2019 CASI PHARMACEUTICALS, INC.
November 13, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): November 13, 2019 CASI PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 000-
November 12, 2019	EX-3.1	Restated Certificate of Incorporation** Exhibit 3.1 Delaware The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE RESTATED CERTIFICATE OF “CASI PHARMACEUTICALS, INC.”, FILED IN THIS OFFICE ON THE FIRST DAY OF OCTOBER, A.D. 2019, AT 4:14 O`CLOCK P.M. RESTATED CERTIFICATE OF INCORPORATION OF CASI PHARMACEUTICALS, INC. PURSUANT TO SECTIONS 242 A
November 12, 2019	10-Q	CASI / CASI Pharmaceuticals, Inc. 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .
November 12, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) DELAWARE (State or other jurisdiction of incorporation or organization) 0-20713 (Co
November 12, 2019	EX-99.1	CASI Pharmaceuticals, Inc. / 9620 Medical Center Drive / Suite 300 / Rockville, MD 20850 Phone 240.864.2600 / Fax 301.315.2437 Exhibit 99.1 www.casipharmaceuticals.com FOR IMMEDIATE RELEASE CASI Pharmaceuticals Announces Third Quarter 2019 Financial Results ROCKVILLE, MD. and BEIJING (November 12, 2019) - CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company focused on developing and commercializing therapeutics and pharmaceutical products, today reported financial results for the third quarter and n
November 1, 2019	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): October 29, 2019 CASI PHARMACEUTICALS, INC.
September 25, 2019	8-K/A	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Issuer as Specified in Charter) Delaware 000-20713 58-1959440 (State or other jurisdiction (Commission File Number)
September 11, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Issuer as Specified in Charter) Delaware 000-20713 58-1959440 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of
August 23, 2019	EX-99.1	RISK FACTORS Exhibit 99.1 RISK FACTORS Investing in our securities involves a high degree of risk and uncertainty. Before making an investment decision, you should carefully consider the risks described below, and all other information contained or incorporated by reference in our filings with the SEC. We expect to update these Risk Factors from time to time in the periodic and current reports that we file wit
August 23, 2019	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): August 23, 2019 CASI PHARMACEUTICALS, INC.
August 9, 2019	424B5	Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-222046 Supplement to Prospectus Supplement dated February 23, 2018 (To Prospectus dated December 22, 2017) $20,000,000 Common Stock This supplement (this “Supplement”) supplements our prospectus supplement, dated February 23, 2018 (the “Prospectus Supplement”) and prospectus dated December 22, 2017 (the “Prospectus”) relating to the offer and s
August 9, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) DELAWARE (State or other jurisdiction of incorporation or organization) 0-20713 (Commi
August 9, 2019	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES SECOND QUARTER AND FIRST HALF 2019 FINANCIAL AND BUSINESS RESULTS Exhibit 99.1 www.casipharmaceuticals.com FOR IMMEDIATE RELEASE: CASI PHARMACEUTICALS ANNOUNCES SECOND QUARTER AND FIRST HALF 2019 FINANCIAL AND BUSINESS RESULTS · Acquired Exclusive Rights to Commercialize Anti-CD19 T-Cell Therapy in China and Worldwide · Acquired Exclusive Worldwide Rights to CID-103, a Novel Anti-CD38 Monoclonal Antibody · EVOMELA® (Melphalan Hydrochloride for Injection) Expecte
August 9, 2019	EX-3.1	Restated Certificate of Incorporation of CASI Pharmaceuticals, Inc. (incorporated by reference to exhibit 3.1 on our Form 10-Q for the quarter ended June 30, 2019 filed with the Securities and Exchange Commission on August 9, 2019) EX-3.1 2 tv526331ex3-1.htm EXHIBIT 3.1 Exhibit 3.1
August 9, 2019	EX-10.2	Investment Agreement in respect of Juventas Cell Therapy Ltd effective June 15, 2019 (incorporated by reference to Exhibit 10.2 to the Company’s Form 10-Q filed on August 9, 2019)+ Exhibit 10.2 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. ***Triple asterisks denote omissions. Execution Version INVESTMENT AGREEMENT in respect of JUVENTAS CELL THERAPY LTD. (合源生物科技(天津)有限公司) TABLE OF CONTENTS 1. Definition and Interpretation 5 2. The Transaction 14 3. Conditions Precedent 15 4. Closing 17 5. Warrantors’ Representations and Warr
August 9, 2019	EX-10.1	Exclusive License Agreement by and between CASI Pharmaceuticals, Inc. and Juventas Cell Therapy Ltd effective June 15, 2019 (incorporated by reference to Exhibit 10.1 to the Company’s Form 10-Q filed on August 9, 2019)+ Exhibit 10.1 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. ***Triple asterisks denote omissions. EXCLUSIVE LICENSE AGREEMENT This Exclusive License Agreement (“Agreement”), effective as of June 15, 2019 (Beijing Time, “Effective Date”), is entered into between: (i) Juventas Cell Therapy Ltd., a company duly organized and existing under the laws of
August 9, 2019	10-Q	CASI / CASI Pharmaceuticals, Inc. 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .
July 19, 2019	424B5	Up to $30,000,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-222046 PROSPECTUS SUPPLEMENT (To Prospectus dated December 22, 2017) Up to $30,000,000 Common Stock We have entered into an Open Market Sale AgreementSM, or sales agreement, with Jefferies LLC, or Jefferies, relating to shares of our common stock, $0.01 par value per share, offered by this prospectus supplement and the accompanying prospectus.
July 19, 2019	EX-1.3	Amendment No. 1 to Common Stock Sales Agreement by and between CASI Pharmaceuticals, Inc. and H.C. Wainwright & Co., LLC dated July 19, 2019 (incorporated by reference from Exhibit 1.3 to our Current Report on Form 8-K filed on July 19, 2019) Exhibit 1.3 AMENDMENT NO. 1 TO COMMON STOCK SALES AGREEMENT July 19, 2019 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: CASI Pharmaceuticals, Inc.(the “Company”) and H.C. Wainwright & Co., LLC (“HCW”) are parties to that certain Common Stock Sales Agreement dated February 23, 2018 (the “Original Agreement”). All capitalized terms not defined herein shall have
July 19, 2019	EX-1.1	Open Market Sale Agreement SM by and between CASI Pharmaceuticals, Inc. and Jefferies LLC dated July 19, 2019 (incorporated by reference from Exhibit 1.1 to our Current Report on Form 8-K filed on (July 19, 2019) Exhibit 1.1 OPEN MARKET SALE AGREEMENTSM July 19, 2019 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: CASI Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time through Jefferies LLC, as sales agent and/or principal (the “Agent”), shares of the Company’s common
July 19, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): July 19, 2019 CASI PHARMACEUTICALS, INC.
June 21, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) DELAWARE (State or other jurisdiction of incorporation or organization) 0-20713 (Commis
June 18, 2019	EX-99.1	CASI PHARMACEUTICALS ACQUIRES WORLDWIDE RIGHTS TO COMMERCIALIZE ANTI-CD19 T-CELL THERAPY Exhibit 99.1 FOR IMMEDIATE RELEASE CASI PHARMACEUTICALS ACQUIRES WORLDWIDE RIGHTS TO COMMERCIALIZE ANTI-CD19 T-CELL THERAPY ROCKVILLE, Md. (June 17, 2019) – CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. biopharmaceutical company that is focusing on developing and accelerating the launch of innovative therapeutics and pharmaceutical products in China, the U.S., and throughout the world, announc
June 18, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Issuer as Specified in Charter) Delaware 000-20713 58-1959440 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incor
May 15, 2019	10-Q	The Company’s Quarterly Reports on Form 10-Q for the quarter ended March 31, 2019, filed with the SEC on May 15, 2019. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .
May 15, 2019	EX-10.3	License Agreement by and between CASI Pharmaceuticals, Inc. and Black Belt Therapeutics Limited entered into as of April 16, 2019 (incorporated by reference to Exhibit 10.3 to the Quarterly Report filed May 15, 2019)+ Exhibit 10.3 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. ***Triple asterisks denote omissions. Execution Version LICENSE AGREEMENT by and between CASI PHARMACEUTICALS, INC. and BLACK BELT THERAPEUTICS LIMITED entered into as of April 16, 2019 Table of Contents ARTICLE 1 DEFINITIONS 1 ARTICLE 2 LICENSES 17 2.1 License Grants to CASI 17 2.2 Sublic
May 15, 2019	EX-4.2	Form of CASI Pharmaceuticals, Inc. 2011 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement (for Optionees in China)* (incorporated by reference to Exhibit 4.2 on our Quarterly Report on Form 10-Q filed May 15, 2019) Exhibit 4.2 OPTIONEE: DATE OF GRANT: EXERCISE PRICE: COVERED SHARES: (FOR OPTIONEES IN CHINA) CASI Pharmaceuticals, Inc. 2011 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement 1. Definitions. Definitions for defined terms used in this Agreement are provided under Section 11 below. 2. Grant of Option. Pursuant to the Plan and subject to the terms of this Agreement, the Corporation
May 15, 2019	EX-4.1	Form of CASI Pharmaceuticals, Inc. Performance-Contingent 2011 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement (for Optionees in China)* (incorporated by reference to Exhibit 4.1 on our Quarterly Report on Form 10-Q filed May 15, 2019) Exhibit 4.1 OPTIONEE: DATE OF GRANT: EXERCISE PRICE: COVERED SHARES: PERFORMANCE-CONTINGENT STOCK OPTIONS (For Optionees in China) CASI Pharmaceuticals, Inc. 2011 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement 1. Definitions. Definitions for defined terms used in this Agreement are provided under Section 11 below. 2. Grant of Option. Pursuant to the Plan and subject to the ter
May 15, 2019	EX-4.4	Form of CASI Pharmaceuticals, Inc. 2011 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement (for Optionees in the US)* (incorporated by reference to Exhibit 4.4 on our Quarterly Report on Form 10-Q filed May 15, 2019) Exhibit 4.4 OPTIONEE: DATE OF GRANT: EXERCISE PRICE: COVERED SHARES: (FOR OPTIONEES IN U.S.) CASI Pharmaceuticals, Inc. 2011 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement 1. Definitions. Definitions for defined terms used in this Agreement are provided under Section 11 below. 2. Grant of Option. Pursuant to the Plan and subject to the terms of this Agreement, the Corporation
May 15, 2019	EX-4.3	10.25 Form of CASI Pharmaceuticals, Inc. Performance-Contingent 2011 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement (for Optionees in the US)* (incorporated by reference to Exhibit 4.3 on our Quarterly Report on Form 10-Q filed May 15, 2019) Exhibit 4.3 OPTIONEE: DATE OF GRANT: EXERCISE PRICE: COVERED SHARES: PERFORMANCE-CONTINGENT STOCK OPTIONS (FOR OPTIONEES IN U.S.) CASI Pharmaceuticals, Inc. 2011 Long-Term Incentive Plan Non-Qualified Stock Option Grant Agreement 1. Definitions. Definitions for defined terms used in this Agreement are provided under Section 10 below. 2. Grant of Option. Pursuant to the Plan and subject to the term
May 15, 2019	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES FIRST QUARTER 2019 FINANCIAL AND BUSINESS RESULTS Exhibit 99.1 www.casipharmaceuticals.com FOR IMMEDIATE RELEASE CASI PHARMACEUTICALS ANNOUNCES FIRST QUARTER 2019 FINANCIAL AND BUSINESS RESULTS · Acquired Exclusive Global Rights to CID-103, a Novel Anti-CD38 Monoclonal Antibody · Entered into China Distribution Agreement for EVOMELA® (Melphalan Hydrochloride for Injection) · Received National Medical Products Administration (NMPA) Approval of Cli
May 15, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) DELAWARE (State or other jurisdiction of incorporation or organization) 0-20713 (Commiss
May 15, 2019	EX-10.2	Offer Letter from CASI Pharmaceuticals, Inc. to Dr. He dated March 22, 2019, effective April 2, 2019* (incorporated by reference to Exhibit 10.2 to the Quarterly Report filed May 15, 2019) Exhibit 10.2 CASI Pharmaceuticals, Inc. Beijing Office 9620 Medical Center Drive Suite 300 Rockville, MD 20850 Office (240) 864-2600 Fax (301) 315-2437 NASDAQ: CASI CASI (Beijing) Pharmaceuticals Co., Ltd. 1701-1702, China Central Office Tower 1, No. 81 Jianguo Road Chaoyang District, Beijing 100025, P.R. China March 22, 2019 Dr. Wei-Wu He, Ph.D. VIA EMAIL Dear Wei-Wu: On behalf of the Board of Di
May 15, 2019	EX-10.1	Exclusive Distribution Agreement, effective as of March 5, 2019, by and among CASI Pharmaceuticals, Inc, China Resources Guokang Pharmaceuticals Co., Ltd. and CASI (Beijing) Biopharmaceuticals Technology Co., Ltd. (incorporated by reference to Exhibit 10.1 to the Quarterly Report filed May 15, 2019) Exhibit 10.1 Proprietary and Confidential Executed Version EXCLUSIVE DISTRIBUTION AGREEMENT This Exclusive Distribution Agreement (“the Agreement”) is entered into and takes into effect on 15th Feb 2019, by and between: CASI Pharmaceuticals INC., (“CASI”) a Nasdaq listed company incorporated and existing under the laws of the State of Delaware, USA with its registered domicile at 9620 Medical Cent
May 10, 2019	NT 10-Q	CASI / CASI Pharmaceuticals, Inc. NT 10-Q NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: March 31, 2019 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report on Fo
April 30, 2019	DEF 14A	CASI Pharmaceuticals, Inc. 2011 Long Term Incentive Plan, as amended* (previously filed with, and incorporated herein by reference to the Company’s Definitive Proxy Statement filed on April 30, 2019). UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide
April 17, 2019	EX-99.1	CASI PHARMACEUTICALS IN-LICENSES EXCLUSIVE WORLDWIDE RIGHTS TO NOVEL ANTI-CD38 MONOCLONAL ANTIBODY PROGRAM FROM BLACK BELT THERAPEUTICS Exhibit 99.1 FOR IMMEDIATE RELEASE CASI PHARMACEUTICALS IN-LICENSES EXCLUSIVE WORLDWIDE RIGHTS TO NOVEL ANTI-CD38 MONOCLONAL ANTIBODY PROGRAM FROM BLACK BELT THERAPEUTICS ROCKVILLE, Md. (April 17, 2019) – CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. pharmaceutical company with a platform to develop and accelerate the launch of innovative therapeutics and pharmaceutical products in China, the
April 17, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 16, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Issuer as Specified in Charter) Delaware 000-20713 58-1959440 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of inco
April 11, 2019	SC 13D/A	CASI / CASI Pharmaceuticals, Inc. / SPECTRUM PHARMACEUTICALS INC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* CASI Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 29382F 202 (CUSIP Number) Kurt Gustafson Executive Vice President and Chief Financial Officer Spectrum Pharmaceuticals, Inc. 11500 South
April 11, 2019	EX-99.1	Joint Filer Agreement, dated as of April 11, 2019, between Spectrum Pharmaceuticals, Inc. and Spectrum Pharmaceuticals Cayman, L.P. EXHIBIT 99.1 JOINT FILER AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that a single Schedule 13D, or any amendment thereto, relating to the equity securities of CASI Pharmaceuticals, Inc., a Delaware corporation, shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as Exhibit 99.
April 5, 2019	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES THE APPOINTMENT OF WEI-WU HE, PH.D., EXECUTIVE CHAIRMAN, TO THE ROLE OF CHIEF EXECUTIVE OFFICER Exhibit 99.1 www.casipharmaceuticals.com FOR IMMEDIATE RELEASE: CASI PHARMACEUTICALS ANNOUNCES THE APPOINTMENT OF WEI-WU HE, PH.D., EXECUTIVE CHAIRMAN, TO THE ROLE OF CHIEF EXECUTIVE OFFICER ROCKVILLE, Md. (April 2, 2019) – CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. pharmaceutical company with a platform to develop and accelerate the launch of pharmaceutical products and innovative therapeu
April 5, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Issuer as Specified in Charter) Delaware 000-20713 58-1959440 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incor
April 5, 2019	PRE 14A	CASI / CASI Pharmaceuticals, Inc. PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: þ Preliminary Proxy Statement ¨ Confide
March 29, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) DELAWARE (State or other jurisdiction of incorporation or organization) 0-20713 (Commi
March 29, 2019	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES FOURTH QUARTER AND FULL YEAR 2018 FINANCIAL RESULTS AND BUSINESS RESULTS Exhibit 99.1 www.casipharmaceuticals.com FOR IMMEDIATE RELEASE CASI PHARMACEUTICALS ANNOUNCES FOURTH QUARTER AND FULL YEAR 2018 FINANCIAL RESULTS AND BUSINESS RESULTS · Announced distribution partner for Melphalan Hydrochloride for Injection (EVOMELA®) to support commercialization in China following NMPA approval in December of 2018 · Announced NMPA approval of CTAs to conduct confirmatory registr
March 29, 2019	EX-10.20	10.9 Memorandum of Understanding, dated November 16, 2018, by and between Management Committee of Wuxi Huishan Economic Development Zone and CASI Pharmaceuticals, Inc. (incorporated by reference to Exhibit 10.20 of our Form 10-K filed with the Securities and Exchange Commission on March 29, 2019) Exhibit 10.20 Memorandum of Understanding Party A: The Administrative Committee of Wuxi Huishan Economic Development Zone, Jiangsu Province (Hereinafter referred to as “Party A”) Party B: CASI Pharmaceuticals, Inc. (Hereinafter referred to as “Party B”) Whereas the 2 Parties, through negotiations, have mutually reached this Memorandum of Understanding (Hereinafter referred to as “MoU”) on the esta
March 29, 2019	EX-10.23	Shareholders’ Agreement, dated November 16, 2018, between CASI Pharmaceuticals, Inc. and Wuxi Jintou Huicun Investment Enterprise (Limited Partnership) (incorporated by reference to Exhibit 10.23 on our Form 10-K filed with the Securities and Exchange Commission on March 29, 2019) EX-10.23 5 tv516177ex10-23.htm EXHIBIT 10.23 Exhibit 10.23 Shareholders' Agreement between CASI Pharmaceuticals, Inc. and Wuxi Jintou Huicun Investment Enterprise (Limited Partnership) on the Establishment of a Joint Venture in China Wuxi, China November 16, 2018 Contents Articles Page Article 1 Overview of the Joint Venture 1 Article 2 Total Investment and Registered Capita 2 Article 3 Joint Vent
March 29, 2019	EX-10.22	Supplementary Agreement, dated November 16, 2018, by and between Administrative Committee of Wuxi Huishan Economic Development Zone, Jiangsu Province and CASI Pharmaceuticals, Inc. (incorporated by reference to Exhibit 10.22 on our Form 10-K filed with the Securities and Exchange Commission on March 29, 2019) Exhibit 10.22 Supplementary Agreement Party A: The Committee of Wuxi Huishan Economic Development Zone, Jiangsu Province Party B: CASI Pharmaceuticals, Inc. Based on the principles of equality, mutual benefit and consorted development, Party A and Party B have reached an agreement on Party B’s being supported with the following preferential policies, which is supplemental to the "Investment Agreem
March 29, 2019	EX-10.26	Labor Contract, effective as of September 1, 2018, between CASI (Beijing) Pharmaceuticals, Inc. and Wei (Larry) Zhang* (incorporated by reference to Exhibit 10.26 to the Company’s Form 10-K filed with the SEC on March 29, 2019) Exhibit 10.26 HR-2018- Labor Contract Party A (Employer): CASI (Beijing) Pharmaceuticals, Inc. Legal representative or entrusted agent: Ken K. Ren Address of company: Full Link Plaza Suite B 12F, B1215, 18 Chaoyangmenwai Street, Chaoyang district, Beijing city Party B (Name): Wei (Larry) Zhang ID No. / Passport No.: Current home address: Postal code: Contact No.: 2 Party A and Party B sign this Co
March 29, 2019	EX-21	Subsidiaries of the Registrant ** Exhibit 21 Subsidiaries of the Registrant CASI Pharmaceuticals (Beijing) Co., Ltd. (also known as CASI (Beijing) Biopharmaceuticals Technology Co., Ltd.), a company of limited liability, incorporated and existing under the laws of the People’s Republic of China Beijing Zhongbai Biotechnology Co., Ltd. (also known as Beijing Zhongbio Therapeutics, Ltd.), a company of limited liability, incorporated
March 29, 2019	EX-10.21	10.10 Investment Agreement, dated November 16, 2018, by and between Administrative Committee of Wuxi Huishan Economic Development Zone, Jiangsu Province and CASI Pharmaceuticals, Inc. (incorporated by reference to Exhibit 10.21 on our Form 10-K filed with the Securities and Exchange Commission on March 29, 2019) Exhibit 10.21 Investment Agreement Party A: The Administrative Committee of Wuxi Huishan Economic Development Zone, Jiangsu Province Party B: CASI Pharmaceuticals, Inc. Party A and Party B, in accordance with the relevant laws and regulations of the People's Republic of China, and based on the principles of equality, voluntariness, reasonable expectation of equal compensations, and good faith, hav
March 29, 2019	10-K	The Company’s Annual Report on Form 10-K for the year ended December 31, 2018, filed with the SEC on March 29, 2019 FORM 10-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 Commission file number 0-20713 CASI PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 58-1959440 (State of Incorporation) (I.R.S. Employer Identification No.) 9620 M
March 29, 2019	EX-10.24	Lease Contract, by and between Wuxi Huishan New City Life Science & Technology Industry Development Co., Ltd. and CASI Pharmaceuticals, Inc. (incorporated by reference to Exhibit 10.24 on our Form 10-K filed with the Securities and Exchange Commission on March 29, 2019) Exhibit 10.24 Lease Contract Party A: Wuxi Huishan New City Life Science & Technology Industry Development Co., Ltd. (the Lessor) Party B: CASI Pharmaceuticals, Inc. (the Lessee) November 16, 2018, Huishan, Wuxi Party A: Wuxi Huishan New City Life Science & Technology Industry Development Co., Ltd. (the Lessor) Party B: CASI Pharmaceuticals, Inc. (the Lessee) Whereas Party B intends to set up a fo
March 29, 2019	EX-10.25	Joint Venture Contract on Establishment of CASI (Wuxi) Pharmaceuticals Co. Ltd. by and between CASI Pharmaceuticals, Inc. and Wuxi Jintou Huicun Investment Enterprise Limited Partnership, dated as of November 16, 2018 (incorporated by reference to Exhibit 10.25 on our Form 10-K filed with the SEC on March 29, 2019) Exhibit 10.25 Contract on the Establishment of a Joint Venture on Establishment of the [Company] By and between CASI PHARMACEUTICALS, INC. and Wuxi Jintou Huicun Investment Limited Partnership Wuxi, China November 16, 2018 Contents Article I DEFINITIONS AND INTERPRETATIONS 2 Article II THE PARTIES OF THE JOINT VENTURE 4 Article III THE ESTABLISHMENT OF THE JOINT VENTURE 5 Article IV CONCEPT & BUSI
March 18, 2019	NT 10-K	CASI / CASI Pharmaceuticals, Inc. NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: December 31, 2018 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report on
March 13, 2019	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2019 CASI PHARMACEUTICALS, INC. (Exact Name of Issuer as Specified in Charter) Delaware 000-20713 58-1959440 (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incor
March 13, 2019	EX-99.1	CASI PHARMACEUTICALS ANNOUNCES EXCLUSIVE DISTRIBUTION PARTNER FOR MELPHALAN HYDROCHLORIDE FOR INJECTION (EVOMELA®) IN CHINA Exhibit 99.1 www.casipharmaceuticals.com FOR IMMEDIATE RELEASE: CASI PHARMACEUTICALS ANNOUNCES EXCLUSIVE DISTRIBUTION PARTNER FOR MELPHALAN HYDROCHLORIDE FOR INJECTION (EVOMELA®) IN CHINA ROCKVILLE, Md. (March 13, 2019) – CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. based pharmaceutical company with a platform to develop and accelerate the launch of pharmaceutical products and innovative ther
March 13, 2019	EX-99.3	CASI PHARMACEUTICALS ANNOUNCES CHINA NATIONAL MEDICAL PRODUCTS ADMINISTRATION (NMPA) APPROVAL OF CTA TO CONDUCT REGISTRATION TRIAL FOR MARQIBO® EX-99.3 4 tv516126ex99-3.htm EXHIBIT 99.3 Exhibit 99.3 www.casipharmaceuticals.com FOR IMMEDIATE RELEASE: CASI PHARMACEUTICALS ANNOUNCES CHINA NATIONAL MEDICAL PRODUCTS ADMINISTRATION (NMPA) APPROVAL OF CTA TO CONDUCT REGISTRATION TRIAL FOR MARQIBO® ROCKVILLE, Md. (March 7, 2019) – CASI Pharmaceuticals, Inc. (Nasdaq: CASI), a U.S. based pharmaceutical company with a platform to develop and acceler
March 13, 2019	EX-99.2	AGREEMENT TO RESCIND AND TERMINATE Exhibit 99.2 AGREEMENT TO RESCIND AND TERMINATE This Agreement to Rescind and Terminate (“Agreement”) is entered into on this day of , 2019 by and between CASI Pharmaceuticals, Inc. (the “Company”), a Delaware corporation, and the party identified on the signature page hereto (“Party A”): WHEREAS, the Company and Party A entered into a Securities Purchase Agreement dated September 11, 2018 (the “P

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