SEC Filing | Arcturus Therapeutics, Inc.

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

SASSINE ANDY

(Last)

(First)

(Middle)

C/O ARCTURUS THERAPEUTICS LTD.

10628 SCIENCE CENTER DRIVE, SUITE 250

(Street)

SAN DIEGO

92121

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2019

3. Issuer Name and Ticker or Trading Symbol
Arcturus Therapeutics Ltd. [ ARCT ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Financial Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Ordinary Shares	237,596⁽¹⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
STOCK OPTION (right to purchase)⁽¹⁾	⁽²⁾	08/23/2028	Ordinary Shares	3,750	8	D
STOCK OPTION (right to purchase)⁽¹⁾⁽³⁾	⁽³⁾	08/23/2028	Ordinary Shares	10,000	8	D
STOCK OPTION (right to purchase)⁽¹⁾	08/24/2018	08/23/2028	Ordinary Shares	2,500	8	D
STOCK OPTION (right to purchase)⁽¹⁾⁽³⁾	⁽³⁾	08/23/2028	Ordinary Shares	20,000	8	D
STOCK OPTION (right to purchase)⁽¹⁾⁽⁴⁾	⁽⁴⁾	12/31/2028	Ordinary Shares	100,000	4.53	D

Explanation of Responses:

1. The Reporting Person is filing this form in connection with the Issuer's transition from reporting as a foreign private issuer to reporting as a domestic issuer, effective January 1, 2019.

2. Fully vested as of December 31, 2018.

3. Vesting monthly over a one year period from August 24, 2018.

4. Options to purchase 25,000 shares vest one year from the date of grant and the remainder vests in equal monthly installments over the three year period thereafter.

	/s/ Andy Sassine	01/02/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.