SEC Form 4 · accession 0001676051-16-000006
Cellectar Biosciences, Inc. · CLRB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Hertzberg
Other
Period of report
Aug 9, 2016
Accepted (ET)
Nov 1, 2016 · 8:45 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 |
|---|---|---|---|---|---|---|---|---|
| Cellectar Biosciences, Inc. common stock (CLRB)F1 | Oct 31, 2016 | S | 21,000 | $2.029 | D | 280,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Cellectar Biosciences Inc. Warrant (CLRBW)F2 | $46.80 | Aug 9, 2016 | S | 40,916 | D | Aug 21, 2014 | Aug 20, 2019 | Cellectar Biosciences, Inc. common stock (CLRB) | 40,916 | 0 | D |
Explanation of responses
- F1CLRB stock sales during period October 13 through October 31, 2016
- F2Price of CLRB at close of market 11/1/2016
Remarks
Total CLRB beneficial ownership percentage of Hertzberg at 10/31/2016 based upon 5,368,235 total outstanding shares of CLRB reported by company as of 10/31/2016 is five and two/tenths percent (5.2%).