SEC Form 4 · accession 0001179110-17-009169
Celldex Therapeutics, Inc. · CLDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith L Brownlie
Director
Period of report
Jun 15, 2017
Accepted (ET)
Jun 16, 2017 · 9:32 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 shareF1 | Jun 15, 2017 | A | 10,000 | — | A | 10,000 | 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 Option (right to buy)F2,F3 | $2.32 | Jun 15, 2017 | A | 15,000 | A | Jun 15, 2018 | Jun 15, 2027 | Common Stock | 15,000 | 15,000 | D |
| Non-Qualified Stock Option (right to buy)F2,F4 | $2.32 | Jun 15, 2017 | A | 8,000 | A | Jun 15, 2018 | Jun 15, 2027 | Common Stock | 8,000 | 8,000 | D |
Explanation of responses
- F1On June 15, 2017, the Company awarded 10,000 shares of Company common stock as an annual equity grant in the form of restricted stock awards under the Celldex Therapeutics, Inc. 2008 Stock Option Plan subject to time-based forfeiture restrictions.
- F2Represents option granted by the Issuer pursuant to its 2008 Stock Option and Incentive Plan.
- F3Such option vests in three equal annual installments beginning June 15, 2018.
- F4100% of the total amount of shares subject to the Option vests on June 15, 2018.