Filing Details
- Accession Number:
- 0001144204-14-052149
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-22 17:21:48
- Reporting Period:
- 2014-08-20
- Filing Date:
- 2014-08-22
- Accepted Time:
- 2014-08-22 17:21:48
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1279704 | Cellectar Biosciences Inc. | CLRB | Pharmaceutical Preparations (2834) | 043321804 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1167426 | John Neis | C/O Cellectar Biosciences, Inc. 3301 Agriculture Drive Madison WI 53719 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.00001 Per Share | Acquisiton | 2014-08-20 | 130,000 | $3.75 | 493,715 | No | 4 | P | Indirect | See Foonote |
Common Stock, Par Value $0.00001 Per Share | Acquisiton | 2014-08-20 | 138,711 | $3.75 | 632,426 | No | 4 | P | Indirect | See Foonote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Foonote |
No | 4 | P | Indirect | See Foonote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Purchase Warrant (right to buy) | Acquisiton | 2014-08-20 | 130,000 | $0.01 | 130,000 | $4.68 |
Common Stock | Convertible Debenture (right to buy) | Disposition | 2014-08-20 | 50,000 | $3.75 | 50,000 | $10.00 |
Common Stock | Stock Purchase Warrant (right to buy) | Acquisiton | 2014-08-20 | 138,711 | $0.01 | 138,711 | $4.68 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
130,000 | 2014-08-20 | 2019-08-20 | No | 4 | P | Indirect |
0 | 2014-02-06 | 2016-02-06 | No | 4 | S | Indirect |
268,711 | 2014-08-20 | 2019-08-20 | No | 4 | P | Indirect |
Footnotes
- These securities are held by Venture Investors Early Stage Fund IV Limited Partnership and Advantage Capital Wisconsin Partners I, Limited Partnership. VIESF IV GP LLC is the general partner of Venture Investors Early Stage Fund IV Limited Partnership and Venture Investors LLC is the submanager and special limited partner of Advantage Capital Wisconsin Partners I, Limited Partnership. The investment decisions of VIESF IV GP LLC and Venture Investors LLC are made collectively by seven managers, including the reporting person. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- These securities were issued in consideration of the tender to the issuer by Venture Investors Early Stage Fund IV Limited Partnership and Advantage Capital Wisconsin Partners I, Limited Partnership of convertible debentures with an aggregate principal amount and accrued interest equal to the purchase price of the securities.
- These securities were tendered to the issuer by Venture Investors Early Stage Fund IV Limited Partnership and Advantage Capital Wisconsin Partners I, Limited Partnership in consideration of the purchase of shares of Common Stock and Stock Purchase awards as described elsewhere in this Form 4.