SEC Form 4 · accession 0000905718-15-000933
Celldex Therapeutics, Inc. · CLDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Avery W Catlin
Officer — Sr. VP & CFO
Period of report
Nov 23, 2015
Accepted (ET)
Nov 25, 2015 · 4:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000744218
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 23, 2015 | M | 25,000 | $8.52 | A | 60,109 | D | |
| Common Stock | Nov 23, 2015 | S | 25,000 | $18.00 | D | 35,109 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock OptionF2,F1 | $8.52 | Nov 23, 2015 | M | 25,000 | D | Jan 6, 2013 | Jan 6, 2019 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1The sale reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2015. The options exercised and sold by the Reporting Person were due to expire January 6, 2019.
- F2As of January 6, 2013, the option is fully vested.