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Dare Bioscience, Inc. — Director's Dealing 2014
Apr 10, 2014
34825_dirs_2014-04-10_c385b964-dfab-49bc-8996-4f162500f91a.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Cerulean Pharma Inc. (CERU)
CIK: 0001401914
Period of Report: 2014-04-10
Reporting Person: GUIFFRE CHRISTOPHERD T (Sr. VP, Chief Business Officer)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $3.77 | 2022-01-24 | Common Stock (51698) | Direct | |
| Stock Option (right to buy) | $3.77 | 2022-01-24 | Common Stock (53766) | Direct | |
| Stock Option (right to buy) | $3.92 | 2022-12-18 | Common Stock (9236) | Direct | |
| Stock Option (right to buy) | $3.92 | 2022-12-18 | Common Stock (9236) | Direct | |
| Stock Option (right to buy) | $10.59 | 2024-01-09 | Common Stock (17922) | Direct |
Footnotes
F1: This option was granted on January 25, 2012. This option vested as to 25% of the underlying shares on January 17, 2013, and as to an additional 2.08333% of the shares monthly thereafter through January 17, 2016.
F2: Reflects a 1-for-14.5074 reverse stock split effected on March 31, 2014.
F3: This option was granted on January 25, 2012 and vests as follows: (i) 27,572 of the underlying shares shall vest in 24 approximately equal monthly installments, commencing upon the closing of a transformative business development transaction, as determined by the Company's board of directors and (ii) the remaining 24,126 shares shall vest upon the occurrence of a change in control event meeting certain objective criteria.
F4: This option was granted on December 19, 2012 and vests as follows: (i) 4,988 of the underlying shares shall vest in 24 approximately equal monthly installments, commencing upon the closing of a transformative business development transaction, as determined by the Company's board of directors and (ii) the remaining 4,248 shares shall vest upon the occurrence of a change in control event meeting certain objective criteria, provided that if the closing of such change of control event occurs on or prior to January 1, 2015 then, upon such closing, all of the shares underlying this option shall vest in full.
F5: This option was granted on December 19, 2012. This option vested as to 25% of the underlying shares on December 31, 2013, and as to an additional 2.08333% of the shares monthly thereafter through December 31, 2016.
F6: This option was granted on January 10, 2014. The shares subject to the option vest as to 2.08333% of the shares monthly through and including December 31, 2017.