SEC Form 4 · accession 0001179110-16-026065
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
Jun 3, 2016
Accepted (ET)
Jun 6, 2016 · 8:26 am EDT
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, par value $0.001 per share | Jun 3, 2016 | M | 20,000 | $2.80 | A | 70,739 | D | |
| Common Stock, par value $0.001 per share | Jun 3, 2016 | M | 2,847 | $4.50 | A | 73,586 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock OptionF1 | $2.80 | Jun 3, 2016 | M | 20,000 | D | — | Aug 5, 2021 | Common Stock | 20,000 | 0 | D |
| Incentive Stock OptionF2 | $4.50 | Jun 3, 2016 | M | 2,847 | D | — | Jan 21, 2020 | Common Stock | 2,847 | 5,000 | D |
Explanation of responses
- F1As of August 5, 2015, the option is fully vested.
- F2As of January 21, 2014, the option is fully vested.