SEC Form 4 · accession 0000919574-15-007187
Celator Pharmaceuticals Inc · CPXX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Sep 30, 2015
Accepted (ET)
Oct 2, 2015 · 8:02 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 | Sep 30, 2015 | P | 200 | $1.67 | A | 159,986 | D | |
| Common Stock | Sep 30, 2015 | P | 5,000 | $1.62 | A | 164,986 | D | |
| Common Stock | Sep 30, 2015 | P | 2,000 | $1.68 | A | 166,986 | D | |
| Common Stock | Sep 30, 2015 | P | 3,000 | $1.66 | A | 169,986 | D | |
| Common Stock | Oct 1, 2015 | P | 2,000 | $1.64 | A | 171,986 | D | |
| Common StockF1 | holding | — | — | — | 1,123,612 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported securities are directly owned by Valence CDK SPV, L.P. ("CDK SPV"). Valence Life Sciences GP II, LLC ("GP II") is the sole general partner of CDK SPV. In his capacity as the sole manager of GP II, Eric Roberts shares voting and investment authority over the securities held by CDK SPV. GP II and Mr. Roberts may be deemed to beneficially own the securities held by CDK SPV. Mr. Roberts and GP II disclaim beneficial ownership of these securities except to the extent of their respective pecuniary interests therein.