Form 4 for CLDX Celldex Therapeutics, Inc.
Accepted 2021-08-12 00:00:00 ET · period of report 2021-08-10 · accession 0001179110-21-008140 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-12 | 2021-08-10 | CLDX | Martin Samuel Bates | SVP, CFO | M - OptEx | $5.79 | +21.4K | 30.1K | +246% | +$123.7K |
| DM | 2021-08-12 | 2021-08-10 | CLDX | Martin Samuel Bates | SVP, CFO | S - Sale+OE | $45.25 | -2,738 | 29.4K | -9% | -$123.9K |
| DM | 2021-08-12 | 2021-08-10 | CLDX | Martin Samuel Bates | SVP, CFO | M - OptEx | $0.00 | -21.4K | 16.0K | -57% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-10 | M | A | 10,302 | $9.02 | 21,037 | D | — | — | (F2) This option was previously reported as covering 395,000 shares at an exercise price of $0.6011 per share, but has been adjusted to reflect the Reverse Stock Split. (F1) On February 8, 2019, Celldex Therapeutics, Inc. effected a 1-for-15 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. |
| 2 | Common | Common Stock | 2021-08-10 | S | D | 2,056 | $45.25 | 18,981 | D | — | — | (F3) Represents shares sold upon exercise of option in payment of exercise price pursuant to broker-assisted cashless exercise transaction. (F1) On February 8, 2019, Celldex Therapeutics, Inc. effected a 1-for-15 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. |
| 3 | Common | Common Stock | 2021-08-10 | M | A | 11,079 | $2.78 | 30,060 | D | — | — | |
| 4 | Common | Common Stock | 2021-08-10 | S | D | 682 | $45.25 | 29,378 | D | — | — | (F3) Represents shares sold upon exercise of option in payment of exercise price pursuant to broker-assisted cashless exercise transaction. |
| 5 | Derivative | Incentive Stock Option | 2021-08-10 | M | D | 11,079 | $0.00 | 31,921 | D | $2.78 · — to 2029-06-19 | 11,079 Common Stock | (F5) 25% vested on June 19, 2020 and the remainder vest quarterly (in equal amounts) over the subsequent 12 quarters. |
| 6 | Derivative | Incentive Stock Option | 2021-08-10 | M | D | 10,302 | $0.00 | 16,030 | D | $9.02 · — to 2028-06-13 | 10,302 Common Stock | (F2) This option was previously reported as covering 395,000 shares at an exercise price of $0.6011 per share, but has been adjusted to reflect the Reverse Stock Split. (F4) 25% vested on June 13, 2019 and the remainder vest quarterly (in equal amounts) over the subsequent 12 quarters. |