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Cellectar Biosciences, Inc. — Director's Dealing 2014
Aug 18, 2014
35021_dirs_2014-08-18_014d5e71-5c8c-4c1b-8c00-a0eae335e80f.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Cellectar Biosciences, Inc. (CLRB)
CIK: 0001279704
Period of Report: 2014-08-14
Reporting Person: NEIS JOHN (Director)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $7.40 | 2023-12-13 | Common Stock (2500) | Direct | |
| Stock Option (right to buy) | $15.00 | 2022-12-14 | Common Stock (2500) | Direct | |
| Stock Option (right to buy) | $9.00 | 2021-12-16 | Common Stock (2500) | Direct | |
| Stock Option (right to buy) | $28.00 | 2021-05-18 | Common Stock (5000) | Direct | |
| Convertible Debenture (right to buy) | $10.00 | 2016-02-06 | Common Stock (50000) | Indirect | |
| Stock Purchase Warrant (right to buy) | $10.00 | 2015-02-20 | Common Stock (2750) | Indirect | |
| Stock Purchase Warrant (right to buy) | $25.00 | 2017-06-13 | Common Stock (13500) | Indirect | |
| Stock Purchase Warrant (right to buy) | $15.00 | 2016-03-31 | Common Stock (55000) | Indirect |
Footnotes
F1: These securities are held by Venture Investors Early Stage Fund IV Limited Partnership and Advantage Capital Wisconsin Partners I, Limited Partnership. VIESF IV GP LLC is the general partner of Venture Investors Early Stage Fund IV Limited Partnership and Venture Investors LLC is the submanager and special limited partner of Advantage Capital Wisconsin Partners I, Limited Partnership. The investment decisions of VIESF IV GP LLC and Venture Investors LLC are made collectively by seven managers, including the reporting person. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F2: Option vests in equal quarterly increments over a period of two years from the date of grant. Option expires on the tenth anniversary of the date of grant.
F3: In connection with the issuance of the convertible debentures, Venture Investors Early Stage Fund IV Limited Partnership and Advantage Capital Wisconsin Partners I, Limited Partnership were also granted a warrant to purchase 50,000 shares of common stock at an exercise price of $20.00 per share. The warrants become exercisable only upon the conversion of the convertible debentures and expire February 6, 2019.