Initial Statement of Beneficial Ownership (3)
January 04 2021 - 8:11AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Jimenez Freddy A. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2021
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3. Issuer Name and Ticker or Trading Symbol
Celldex Therapeutics, Inc. [CLDX]
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(Last)
(First)
(Middle)
C/O CELLDEX THERAPEUTICS, INC., 53 FRONTAGE ROAD, SUITE 220 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP & General Counsel / |
(Street)
HAMPTON, NJ 08827
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | (1) | 3/1/2026 | Common Stock | 1400 | $112.50 | D | |
Employee Stock Option (right to buy) | (2) | 6/8/2026 | Common Stock | 733 | $70.80 | D | |
Employee Stock Option (right to buy) | (3) | 8/11/2026 | Common Stock | 266 | $65.40 | D | |
Employee Stock Option (right to buy) | (4) | 6/15/2027 | Common Stock | 1666 | $34.80 | D | |
Employee Stock Option (right to buy) | (5) | 6/13/2028 | Common Stock | 4166 | $9.0165 | D | |
Employee Stock Option (right to buy) | (6) | 6/19/2029 | Common Stock | 20000 | $2.78 | D | |
Employee Stock Option (right to buy) | (7) | 6/18/2030 | Common Stock | 36000 | $10.38 | D | |
Explanation of Responses: |
(1) | The option became exercisable as to 25% of the shares on March 1, 2017 and the remaining shares vested quarterly (in equal amounts) over the subsequent 12 quarters. This option is currently fully vested. |
(2) | The option became exercisable as to 25% of the shares on June 8, 2017 and the remaining shares vested quarterly (in equal amounts) over the subsequent 12 quarters. This option is currently fully vested |
(3) | The option became exercisable as to 25% of the shares on August 11, 2017 and the remaining shares vested quarterly (in equal amounts) over the subsequent 12 quarters. This option is currently fully vested. |
(4) | The option became exercisable as to 25% of the shares on June 15, 2018 and the remaining shares vest quarterly (in equal amounts) over the subsequent 12 quarters. |
(5) | The option became exercisable as to 25% of the shares on June 13, 2019 and the remaining shares vest quarterly (in equal amounts) over the subsequent 12 quarters. |
(6) | The option became exercisable as to 25% of the shares on June 19, 2020 and the remaining shares vest quarterly (in equal amounts) over the subsequent 12 quarters. |
(7) | The option becomes exercisable as to 25% of the shares on June 18, 2021 and the remaining shares vest quarterly (in equal amounts) over the subsequent 12 quarters. |
Remarks: Exhibit List Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jimenez Freddy A. C/O CELLDEX THERAPEUTICS, INC. 53 FRONTAGE ROAD, SUITE 220 HAMPTON, NJ 08827 |
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| SVP & General Counsel |
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Signatures
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/s/ Sam Martin, attorney-in-fact for Freddy A. Jimenez | | 1/4/2021 |
**Signature of Reporting Person | Date |
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