Celldex Therapeutics, Inc. — Director's Dealing 2021

Aug 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Celldex Therapeutics, Inc. (CLDX)
CIK: 0000744218
Period of Report: 2021-08-10

Reporting Person: Martin Samuel Bates (SVP and CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-10	Common Stock	M	10302	$9.0165	Acquired	21037	Direct
2021-08-10	Common Stock	S	2056	$45.25	Disposed	18981	Direct
2021-08-10	Common Stock	M	11079	$2.78	Acquired	30060	Direct
2021-08-10	Common Stock	S	682	$45.25	Disposed	29378	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-10	Incentive Stock Option	$9.0165	M	10302	Disposed	2028-06-13	Common Stock (10302)	Direct
2021-08-10	Incentive Stock Option	$2.78	M	11079	Disposed	2029-06-19	Common Stock (11079)	Direct

Footnotes

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.

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.

F3: Represents shares sold upon exercise of option in payment of exercise price pursuant to broker-assisted cashless exercise transaction.

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.