Martin Samuel Bates's Form 4 filing
Celldex Therapeutics, Inc. (CLDX) · filed Nov 17, 2021
- Accession no.
- 0001179110-21-010208
- Filed
- Nov 17, 2021
- Trade date
- Nov 15, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $413.9K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Martin Samuel BatesCIK 0001709024 | Officer (SVP and CFO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2021 | Common Stock | MOption exerciseAcquired | +3,250 | $9.02 | +$29,315 | 32,628 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseAcquired | +3,750 | $2.78 | +$10,425 | 36,378 | Direct | |
| Nov 15, 2021 | Common Stock | SSaleDisposed | −7,452 | $43.92 | −$327,291.84 | 28,926 | Direct | |
| Nov 15, 2021 | Common Stock | SSaleDisposed | −2,048 | $42.27 | −$86,568.96 | 26,878 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2021 | Common Stock | MOption exerciseDisposed | −3,250 | $0.00 | $0 | 12,780 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseDisposed | −3,750 | $0.00 | $0 | 28,171 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.