# EDGAR Filing Document

**Accession Number:** 0001716043
**File Stem:** 0001062993-23-004238
**Filing Date:** 2023-2
**Character Count:** 8352
**Document Hash:** b980eb1866bf9d4fc060df5d21f1a332
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-004238.hdr.sgml**: 20230221

**ACCESSION NUMBER**: 0001062993-23-004238

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230216

**FILED AS OF DATE**: 20230221

**DATE AS OF CHANGE**: 20230221

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Hahne Vicky
- **CENTRAL INDEX KEY:** 0001716043

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38207
- **FILM NUMBER:** 23648601

**MAIL ADDRESS:**
- **STREET 1:** C/O CELCUITY, 16305 36TH AVENUE N.
- **STREET 2:** #450
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55446
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Celcuity Inc.
- **CENTRAL INDEX KEY:** 0001603454
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MEDICAL LABORATORIES [8071]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 16305 36TH AVENUE N
- **STREET 2:** SUITE 100
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55446
- **BUSINESS PHONE:** 763-392-0767

**MAIL ADDRESS:**
- **STREET 1:** 16305 36TH AVENUE N
- **STREET 2:** SUITE 100
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55446

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Celcuity LLC
- **DATE OF NAME CHANGE:** 20140324

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Hahne Vicky<br><sub>(Last) (First) (Middle)</sub><br>16305 36TH AVENUE N.<br>SUITE 100<br><sub>(Street)</sub><br>MINNEAPOLIS, MN 55446<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Financial Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Celcuity Inc. [ CELC ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock |  |  |  |  |  |  |  | 13297<sup>(1)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (right to buy) | $8.4000 |  |  |  |  |  |  | <sup>(2)</sup> | 2027-05-17 | Common Stock | 37500 |  | 37500 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(2)</sup> | 2028-07-05 | Common Stock | 3000 |  | 3000 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(2)</sup> | 2028-10-17 | Common Stock | 932 |  | 932 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(3)</sup> | 2029-08-12 | Common Stock | 3000 |  | 3000 | D |  |
| Stock Option (right to buy) | $5.9000 |  |  |  |  |  |  | <sup>(4)</sup> | 2030-08-12 | Common Stock | 10000 |  | 10000 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(5)</sup> | 2030-12-28 | Common Stock | 1122 |  | 1122 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(6)</sup> | 2031-02-02 | Common Stock | 1301 |  | 1301 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(7)</sup> | 2031-03-18 | Common Stock | 1204 |  | 1204 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(8)</sup> | 2031-04-12 | Common Stock | 3806 |  | 3806 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(9)</sup> | 2031-08-11 | Common Stock | 15000 |  | 15000 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(10)</sup> | 2031-10-27 | Common Stock | 821 |  | 821 | D |  |
| Stock Option (right to buy) | $5.50 |  |  |  |  |  |  | <sup>(11)</sup> | 2032-05-17 | Common Stock | 31930 |  | 31930 | D |  |
| Stock Option (right to buy) | $11.55 | 2023-02-16 |  | A |  | 5069 |  | <sup>(12)</sup> | 2033-02-16 | Common Stock | 5069 | $0 | 5069 | D |  |

---

### Footnotes:

(1) Includes 394 shares acquired on October 31, 2022 pursuant to the Issuer's Employee Stock Purchase Plan.

(2) Fully vested.

(3) 750 shares vest on 8/12/20; the remaining 2,250 shares vest 1/36th per month thereafter.

(4) 2,500 shares vest on 8/12/21; the remaining 7,500 shares vest 1/36th per month thereafter.

(5) 280 shares vest on 12/29/21; the remaining 842 shares vest 1/36th per month thereafter.

(6) 325 shares vest on 2/2/22; the remaining 976 shares vest 1/36th per month thereafter.

(7) 301 shares vest on 3/18/22; the remaining 903 shares vest 1/36th per month thereafter.

(8) 952 shares vest on 4/12/22; the remaining 2,854 shares vest 1/36th per month thereafter.

(9) 3,750 shares vest on 8/11/22; the remaining 11,250 shares vest 1/36th per month thereafter.

(10) 205 shares vest on 10/27/22; the remaining 616 shares vest 1/36th per month thereafter.

(11) These shares vest in equal amounts over fourteen (14) months, beginning June 1, 2022.

(12) These shares vest in equal amounts over twelve (12) months, beginning February 16, 2023.

**Signature:** /s/ Eric O. Madson as Attorney-in-Fact for Vicky Hahne pursuant to Power of Attorney previously filed.  
**Date:** 2023-02-21

### Remarks:

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 4 (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.**