Form 4 for CLDX Celldex Therapeutics, Inc.
Accepted 2021-11-17 00:00:00 ET · period of report 2021-11-15 · accession 0001179110-21-010208 · 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 | 2021-11-17 | 2021-11-15 | CLDX | Martin Samuel Bates | SVP, CFO | S - Sale+OE | $43.56 | -9,500 | 28.9K | -25% | -$413.9K |
| DM | 2021-11-17 | 2021-11-15 | CLDX | Martin Samuel Bates | SVP, CFO | M - OptEx | $5.68 | +7,000 | 36.4K | +24% | +$39.7K |
| DM | 2021-11-17 | 2021-11-15 | CLDX | Martin Samuel Bates | SVP, CFO | M - OptEx | $0.00 | -7,000 | 12.8K | -35% | $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 | 2021-11-15 | S | D | 2,048 | $42.27 | 26,878 | D | — | — | (F1) 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 August 12, 2021. (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.11 to $42.77 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. |
| 2 | Common | Common Stock | 2021-11-15 | M | A | 3,250 | $9.02 | 32,628 | D | — | — | |
| 3 | Common | Common Stock | 2021-11-15 | M | A | 3,750 | $2.78 | 36,378 | D | — | — | |
| 4 | Common | Common Stock | 2021-11-15 | S | D | 7,452 | $43.92 | 28,926 | D | — | — | (F1) 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 August 12, 2021. (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.29 to $44.24 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 | Derivative | Incentive Stock Option (Right to Buy) | 2021-11-15 | M | D | 3,750 | $0.00 | 28,171 | D | $2.78 · — to 2029-06-19 | 3,750 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 (Right to Buy) | 2021-11-15 | M | D | 3,250 | $0.00 | 12,780 | D | $9.02 · — to 2028-06-13 | 3,250 Common Stock | (F4) 25% vested on June 13, 2019 and the remainder vest quarterly (in equal amounts) over the subsequent 12 quarters. |