12/19/2025 | Press release | Distributed by Public on 12/19/2025 16:20
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FORM 3
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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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| 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 control number. | |||
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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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (Right to Buy) | (1) | 08/24/2028 | Common Stock | 5,000 | $8 | D | |
| Stock Option (Right to Buy) | (2) | 02/18/2030 | Common Stock | 5,000 | $14.12 | D | |
| Stock Option (Right to Buy) | (3) | 12/18/2030 | Common Stock | 2,808 | $99.29 | D | |
| Stock Option (Right to Buy) | (4) | 12/18/2030 | Common Stock | 6,492 | $99.29 | D | |
| Stock Option (Right to Buy) | (5) | 12/10/2031 | Common Stock | 7,000 | $34.57 | D | |
| Stock Option (Right to Buy) | (6) | 12/09/2032 | Common Stock | 7,000 | $16.92 | D | |
| Stock Option (Right to Buy) | (7) | 12/15/2033 | Common Stock | 7,500 | $28.88 | D | |
| Stock Option (Right to Buy) | (8) | 02/22/2034 | Common Stock | 1,000 | $37.44 | D | |
| Stock Option (Right to Buy) | (9) | 12/16/2034 | Common Stock | 9,000 | $16.24 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Roberts Joseph C/O ARCTURUS THERAPEUTICS HOLDINGS INC. 10285 SCIENCE CENTER DRIVE SAN DIEGO, CA 92121 |
Controller | |||
| /s/ Grant Levine, attorney-in-fact | 12/19/2025 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | The shares underlying the option vest over a four-year period, vesting 1/4 on the one-year anniversary of the date of grant, and the remaining vesting 1/36th per month over the following three years. The option was granted on August 24, 2018. |
| (2) | The shares underlying the option vest over a four-year period, vesting 1/4 on the one-year anniversary of the date of grant, and the remaining vesting 1/36th per month over the following three years. The option was granted on February 18, 2020. |
| (3) | The shares underlying the option vest over a four-year period, vesting 1/4 on the one-year anniversary of the date of grant, and the remaining vesting 1/36th per month over the following three years. The option was granted on December 18, 2020. |
| (4) | The shares underlying the option vest over a four-year period, vesting 1/4 on the one-year anniversary of the date of grant, and the remaining vesting 1/36th per month over the following three years. The option was granted on December 18, 2020. |
| (5) | The shares underlying the option vest over a four-year period, vesting 1/4 on the one-year anniversary of the date of grant, and the remaining vesting 1/36th per month over the following three years. The option was granted on December 10, 2021. |
| (6) | The shares underlying the option vest over a four-year period, vesting 1/4 on the one-year anniversary of the date of grant, and the remaining vesting 1/36th per month over the following three years. The option was granted on December 9, 2022. |
| (7) | The shares underlying the option vest over a four-year period, vesting 1/4 on the one-year anniversary of the date of grant, and the remaining vesting 1/36th per month over the following three years. The option was granted on December 15, 2023. |
| (8) | The shares underlying the option vest over a four-year period, vesting 1/4 on the one-year anniversary of the date of grant, and the remaining vesting 1/36th per month over the following three years. The option was granted on February 22, 2024. |
| (9) | The shares underlying the option vest over a four-year period, vesting 1/4 on the one-year anniversary of the date of grant, and the remaining vesting 1/36th per month over the following three years. The option was granted on December 16, 2024. |