SEC Form 4 · accession 0001144204-16-095611
Cellectar Biosciences, Inc. · CLRB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Neis
Director
Period of report
Apr 20, 2016
Accepted (ET)
Apr 21, 2016 · 6:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001279704
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.00001 per shareF1 | Apr 20, 2016 | P | 234,742 | $2.12 | A | 297,984 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A WarrantsF1 | $3.04 | Apr 20, 2016 | P | 234,742 | A | Apr 20, 2016 | Apr 20, 2021 | Common Stock | 234,742 | 274,613 | I |
Explanation of responses
- F1These securities are held by Venture Investors Early Stage fund IV Limited Partnership and Advantage Capital Wisconsin Partners I, Limited Partnership. VIESF IV GP LLC is the general partner of Venture Investors Early Stage Fund IV Limited Partnership and Venture Investors LLC is the submanager and special limited partner of Advantage Capital Wisconsin Partners I, Limited Partnership. The investment decisions of VIESF IV GP LLC and Venture Investors LLC are made collectively by seven managers, including the reporting person. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest herein.