SEC Form 4 · accession 0000899243-16-024768
Celator Pharmaceuticals Inc · CPXX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Thomas Jackson
Officer — Chief Executive Officer · Director
Period of report
Jul 7, 2016
Accepted (ET)
Jul 7, 2016 · 6:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001327467
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 7, 2016 | M | 38,135 | $3.37 | A | 88,178 | D | |
| Common Stock | Jul 7, 2016 | M | 117,064 | $2.44 | A | 205,242 | D | |
| Common Stock | Jul 7, 2016 | M | 96,276 | $3.116 | A | 301,518 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $3.37 | Jul 7, 2016 | M | 38,135 | D | — | Dec 4, 2017 | Common Stock | 38,135 | 0 | D |
| Stock Option (right to buy)F2 | $2.44 | Jul 7, 2016 | M | 117,064 | D | — | Mar 5, 2019 | Common Stock | 117,064 | 98,409 | D |
| Stock Option (right to buy)F3 | $3.116 | Jul 7, 2016 | M | 96,276 | D | — | Jun 3, 2023 | Common Stock | 96,276 | 333,724 | D |
Explanation of responses
- F1This option is vested in full.
- F2This option is vested in full.
- F3This option vests as follows: (i) 107,500 options vest on June 3, 2014; and (ii) 322,500 options vest in twelve consecutive quarterly installments of 26,875 shares, each on the 3rd day of the respective month beginning September 3, 2014 and continuing through June 3, 2017.