SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
BLECH ISAAC

(Last) (First) (Middle)
75 ROCKEFELLER PLAZA
29TH FLOOR

(Street)
NEW YORK NY 10019

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/28/2014
3. Issuer Name and Ticker or Trading Symbol
CONTRAFECT Corp [ CFRX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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)
Common Stock, par value $0.0001 per share 21,523 I His Wife(1)
Common Stock, par value $0.0001 per share 1,259,282 I By Trusts(2)(3)(4)(5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: 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
Options (Right to Buy) (6) 08/19/2020 Common Stock, par value $0.0001 per share 14,285 $3.5 D
Options (Right to Buy) (6) 02/07/2021 Common Stock, par value $0.0001 per share 14,285 $3.5 D
Options (Right to Buy) (6) 12/31/2022 Common Stock, par value $0.0001 per share 14,285 $3.5 D
Options (Right to Buy) (6) 05/10/2022 Common Stock, par value $0.0001 per share 71,428 $3.5 D
Options (Right to Buy) (6) 02/26/2023 Common Stock, par value $0.0001 per share 14,285 $3.5 D
Options (Right to Buy) (7) 03/20/2024 Common Stock, par value $0.0001 per share 14,285 $4.27 D
Explanation of Responses:
1. As spouses, Miriam Blech and Isaac Blech may be deemed the beneficial owner of the securities held by Miriam Blech, Isaac Blech and the trust. Each reporting person disclaims the other reporting persons' beneficial ownership of the securities reported herein, except to its, his or her pecuniary interest therein, if any.
2. Mr. Blech is the trustee of River Charitable Remainder Unitrust (the "River Trust") and, as such, has sole voting and dispositive power over the River Trust. Mr. Blech disclaims beneficial ownership of the securities held by the River Trust, except to the extent of his pecuniary interest therein, if any.
3. Mr. Blech is the trustee of Liberty Charitable Remainder Trust (the Liberty "Trust") and, as such, has sole voting and dispositive power over the Liberty Trust. Mr. Blech disclaims beneficial ownership of the securities held by the Liberty Trust, except to the extent of his pecuniary interest therein, if any.
4. Mr. Blech is the trustee of Summit Charitable Remainder Trust (the "Summit Trust") and, as such, has sole voting and dispositive power over the Summit Trust. Mr. Blech disclaims beneficial ownership of the securities held by the Summit Trust, except to the extent of his pecuniary interest therein, if any.
5. Mr. Blech is the trustee of Harbor Charitable Remainder Trust (the " Harbor Trust") and, as such, has sole voting and dispositive power over the Harbor Trust. Mr. Blech disclaims beneficial ownership of the securities held by the Harbor Trust, except to the extent of his pecuniary interest therein, if any.
6. Currently Exercisable
7. Grant of 14,285 options vests quarterly over 1 year term; 3,571 options to vest on 10/1/2014
Remarks:
/s/ Nancy Dong, Attorney-in-fact for Isaac Blech 07/28/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.