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Celldex Therapeutics, Inc. — Director's Dealing 2021
Nov 17, 2021
31801_dirs_2021-11-17_50ce89bc-09c8-437d-8bc1-838803220f07.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Celldex Therapeutics, Inc. (CLDX)
CIK: 0000744218
Period of Report: 2021-11-15
Reporting Person: Martin Samuel Bates (SVP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-15 | Common Stock | M | 3250 | $9.0165 | Acquired | 32628 | Direct |
| 2021-11-15 | Common Stock | M | 3750 | $2.78 | Acquired | 36378 | Direct |
| 2021-11-15 | Common Stock | S | 7452 | $43.9230 | Disposed | 28926 | Direct |
| 2021-11-15 | Common Stock | S | 2048 | $42.2701 | Disposed | 26878 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-15 | Incentive Stock Option (Right to Buy) | $9.0165 | M | 3250 | Disposed | 2028-06-13 | Common Stock (3250) | Direct |
| 2021-11-15 | Incentive Stock Option (Right to Buy) | $2.78 | M | 3750 | Disposed | 2029-06-19 | Common Stock (3750) | Direct |
Footnotes
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.
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.
F4: 25% vested on June 13, 2019 and the remainder vest quarterly (in equal amounts) over the subsequent 12 quarters.
F5: 25% vested on June 19, 2020 and the remainder vest quarterly (in equal amounts) over the subsequent 12 quarters.