Sec Form 3 Filing - Sirard Cynthia @ LEAP THERAPEUTICS, INC. - 2020-04-01

Insider filing report for Changes in Beneficial Ownership
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FORM 3
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Sirard Cynthia
2. Issuer Name and Ticker or Trading Symbol
LEAP THERAPEUTICS, INC. [ LPTX]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Medical Officer
(Last) (First) (Middle)
C/O LEAP THERAPEUTICS, INC., 47 THORNDIKE STREET, SUITE B1-1
3. Date of Earliest Transaction (MM/DD/YY)
04/01/2020
(Street)
CAMBRIDGE, MA02141
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy) $ 4.37 ( 1 ) 12/05/2022 Common Stock 8,053 D
Employee Stock Option (Right to Buy) $ 3.97 ( 2 ) 01/23/2023 Common Stock 61 D
Employee Stock Option (Right to Buy) $ 5.56 ( 3 ) 09/08/2024 Common Stock 2,517 D
Employee Stock Option (Right to Buy) $ 5.36 ( 4 ) 09/11/2024 Common Stock 2,814 D
Employee Stock Option (Right to Buy) $ 9.9 ( 5 ) 01/19/2027 Common Stock 69,130 D
Employee Stock Option (Right to Buy) $ 9.9 ( 6 ) 01/22/2027 Common Stock 17,000 D
Employee Stock Option (Right to Buy) $ 6.49 ( 7 ) 11/28/2027 Common Stock 75,000 D
Employee Stock Option (Right to Buy) $ 7.66 ( 8 ) 04/17/2028 Common Stock 20,000 D
Employee Stock Option (Right to Buy) $ 3.68 ( 9 ) 12/04/2028 Common Stock 20,000 D
Employee Stock Option (Right to Buy) $ 1.39 ( 10 ) 06/10/2029 Common Stock 90,000 D
Employee Stock Option (Right to Buy) $ 2.94 ( 11 ) 03/01/2030 Common Stock 150,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Sirard Cynthia
C/O LEAP THERAPEUTICS, INC.
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE, MA02141
Chief Medical Officer
Signatures
/s/ Douglas E. Onsi 04/06/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The Option was granted pursuant to Leap's Amended and Restated 2012 Equity Incentive Plan, 25% of which cliff vested and became exercisable on December 6, 2013 and the remainder of which vested and became exercisable in a series of 12 equal quarterly installments thereafter until the Option was fully vested.
( 2 )The Option was granted pursuant to Leap's Amended and Restated 2012 Equity Incentive Plan, 25% of which cliff vested and became exercisable on January 24, 2014 and the remainder of which vested and became exercisable in a series of 12 equal quarterly installments thereafter until the Option was fully vested.
( 3 )The Option was granted pursuant to Leap's Amended and Restated 2012 Equity Incentive Plan, 25% of which cliff vested and became exercisable on September 9, 2015 and the remainder of which vested and became exercisable in a series of 12 equal quarterly installments thereafter until the Option was fully vested.
( 4 )The Option was granted pursuant to Leap's Amended and Restated 2012 Equity Incentive Plan, 25% of which cliff vested and became exercisable on September 12, 2015 and the remainder of which vested and became exercisable in a series of 12 equal quarterly installments thereafter until the Option was fully vested.
( 5 )The Option was granted pursuant to Leap's Amended and Restated 2012 Equity Incentive Plan and fully vested and became exercisable on January 20, 2017, the date of grant.
( 6 )The Option was granted pursuant to Leap's Amended and Restated 2012 Equity Incentive Plan, with 25% cliff vesting and becoming exercisable on January 23, 2018 and the remainder vesting and becoming exercisable in a series of 36 equal monthly installments thereafter until the Option is fully vested.
( 7 )The Option was granted pursuant to Leap's 2016 Equity Incentive Plan and shall vest and become exercisable in a series of 48 equal monthly installments until the Option is fully vested, with the first such installment vesting on December 29, 2017.
( 8 )The Option was granted pursuant to Leap's 2016 Equity Incentive Plan and shall vest and become exercisable in a series of 48 equal monthly installments until the Option is fully vested, with the first such installment vesting on May 18, 2018.
( 9 )The Option was granted pursuant to Leap's 2016 Equity Incentive Plan and shall vest and become exercisable in a series of 48 equal monthly installments until the Option is fully vested, with the first such installment vesting on January 5, 2019.
( 10 )The Option was granted pursuant to Leap's 2016 Equity Incentive Plan and shall vest and become exercisable in a series of 36 equal monthly installments until the Option is fully vested, with the first such installment vesting on July 11, 2019.
( 11 )The Option was granted pursuant to Leap's 2016 Equity Incentive Plan and shall vest and become exercisable in a series of 36 equal monthly installments until the Option is fully vested, with the first such installment vesting on April 2, 2020.

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