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Filing Details

Accession Number:: 0001179110-21-009818
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-03 16:02:59
Reporting Period:: 2021-11-01

Accepted Time:: 2021-11-03 16:02:59
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
744218	Celldex Therapeutics Inc.	CLDX	In Vitro & In Vivo Diagnostic Substances (2835)	133191702

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1709113	Sarah Cavanaugh	C/O Celldex Therapeutics, Inc. 53 Frontage Road, Suite 220 Hampton NJ 08827	Svp Of Corp Affairs & Admin.	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-11-01	5,018	$9.02	6,793	No	4	M	Direct
Common Stock	Acquisiton	2021-11-01	938	$2.78	7,731	No	4	M	Direct
Common Stock	Disposition	2021-11-01	4,302	$44.11	3,429	No	4	S	Direct
Common Stock	Disposition	2021-11-01	901	$43.06	2,528	No	4	S	Direct
Common Stock	Disposition	2021-11-01	2,120	$41.62	408	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Incentive Stock Option (Right to Buy)	Disposition	2021-11-01	5,018	$0.00	5,018	$9.02
Common Stock	Incentive Stock Option (Right to Buy)	Disposition	2021-11-01	938	$0.00	938	$2.78

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
13,315		2028-06-13	No	4	M	Direct
42,062		2029-06-19	No	4	M	Direct

Footnotes

Includes 408 shares of common stock acquired under the Celldex Therapeutics, Inc. 2004 Employee Stock Purchase Plan on June 30, 2021. 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.
This option was previously reported as covering 275,000 shares at an exercise price of $0.6011 per share, but has been adjusted to reflect the Reverse Stock Split.
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 September 10, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.710 to $44.420 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.580 to $43.360 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.180 to $41.990 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.
25% vested on June 13, 2019 and the remainder vest quarterly (in equal amounts) over the subsequent 12 quarters.
25% vested on June 19, 2020 and the remainder vest quarterly (in equal amounts) over the subsequent 12 quarters.