1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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 |
Stock Option (right to purchase)
(2)
|
10/01/2009 |
01/20/2019 |
Common Stock, par value $.001 per share
|
155,986
|
$
2.48
|
D
|
Â
|
Stock Option (right to purchase)
(3)
|
10/01/2009 |
09/25/2017 |
Common Stock, par value $.001 per share
|
68,475
|
$
4.89
|
D
|
Â
|
Stock Option (right to purchase)
(4)
|
10/01/2009 |
09/25/2017 |
Common Stock, par value $.001 per share
|
68,475
|
$
4.89
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Received in exchange for 241,740 shares of CuraGen, Corp. ("CuraGen") common stock, at an exchange ratio of .2739, in connection with the merger of CuraGen with and into Cottrell Merger Sub, Inc., a direct wholly-owned subsidiary of Celldex Therapeutics, Inc. (the "Merger"). |
(2) |
Received in the Merger in exchange for a stock option to acquire 569,500 shares of CuraGen common stock for $.68 per share. |
(3) |
Received in the Merger in exchange for a stock option to acquire 250,000 shares of CuraGen common stock for $1.34 per share. |
(4) |
Received in the Merger in exchange for a stock option to acquire 250,000 shares of CuraGen common stock for $1.34 per share |