Form 4 for CLDX Celldex Therapeutics, Inc.
Accepted 2021-11-03 00:00:00 ET · period of report 2021-11-01 · accession 0001179110-21-009818 · 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 | 2021-11-03 | 2021-11-01 | CLDX | Cavanaugh Sarah | SVP of Corp Affairs, Admin | M - OptEx | $8.04 | +5,956 | 7,731 | +336% | +$47.9K |
| DM | 2021-11-03 | 2021-11-01 | CLDX | Cavanaugh Sarah | SVP of Corp Affairs, Admin | S - Sale+OE | $43.26 | -7,323 | 3,429 | -68% | -$316.8K |
| DM | 2021-11-03 | 2021-11-01 | CLDX | Cavanaugh Sarah | SVP of Corp Affairs, Admin | M - OptEx | $0.00 | -5,956 | 13.3K | -31% | $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 | 2021-11-01 | M | A | 5,018 | $9.02 | 6,793 | D | — | — | (F2) This option was previously reported as covering 275,000 shares at an exercise price of $0.6011 per share, but has been adjusted to reflect the Reverse Stock Split. (F1) Includes 408 shares of common stock acquired under the Celldex Therapeutics, Inc. 2004 Employee Stock Purchase Plan on June 30, 2021. 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 | 2021-11-01 | S | D | 901 | $43.06 | 2,528 | D | — | — | (F3) The sale of the shares of Common Stock were made pursuant to a plan intended to comply with Rule 10b5-1 of the Exchange Act, previously entered into on September 10, 2021. (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.580 to $43.360 per share, inclusive. The reporting person undertakes to provide to Celldex Therapeutics, Inc., any security holder of Celldex Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. |
| 3 | Common | Common Stock | 2021-11-01 | S | D | 2,120 | $41.62 | 408 | D | — | — | (F3) The sale of the shares of Common Stock were made pursuant to a plan intended to comply with Rule 10b5-1 of the Exchange Act, previously entered into on September 10, 2021. (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.180 to $41.990 per share, inclusive. The reporting person undertakes to provide to Celldex Therapeutics, Inc., any security holder of Celldex Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. |
| 4 | Common | Common Stock | 2021-11-01 | S | D | 4,302 | $44.11 | 3,429 | D | — | — | (F3) The sale of the shares of Common Stock were made pursuant to a plan intended to comply with Rule 10b5-1 of the Exchange Act, previously entered into on September 10, 2021. (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.710 to $44.420 per share, inclusive. The reporting person undertakes to provide to Celldex Therapeutics, Inc., any security holder of Celldex Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. |
| 5 | Common | Common Stock | 2021-11-01 | M | A | 938 | $2.78 | 7,731 | D | — | — | |
| 6 | Derivative | Incentive Stock Option (Right to Buy) | 2021-11-01 | M | D | 938 | $0.00 | 42,062 | D | $2.78 · — to 2029-06-19 | 938 Common Stock | (F8) 25% vested on June 19, 2020 and the remainder vest quarterly (in equal amounts) over the subsequent 12 quarters. |
| 7 | Derivative | Incentive Stock Option (Right to Buy) | 2021-11-01 | M | D | 5,018 | $0.00 | 13,315 | D | $9.02 · — to 2028-06-13 | 5,018 Common Stock | (F2) This option was previously reported as covering 275,000 shares at an exercise price of $0.6011 per share, but has been adjusted to reflect the Reverse Stock Split. (F7) 25% vested on June 13, 2019 and the remainder vest quarterly (in equal amounts) over the subsequent 12 quarters. |