0001209191-16-124151.txt : 20160527 0001209191-16-124151.hdr.sgml : 20160527 20160527184043 ACCESSION NUMBER: 0001209191-16-124151 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150626 FILED AS OF DATE: 20160527 DATE AS OF CHANGE: 20160527 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cerulean Pharma Inc. CENTRAL INDEX KEY: 0001401914 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 204139823 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 35 GATEHOUSE DRIVE CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781-996-4300 MAIL ADDRESS: STREET 1: 35 GATEHOUSE DRIVE CITY: WALTHAM STATE: MA ZIP: 02451 FORMER COMPANY: FORMER CONFORMED NAME: Tempo Pharmaceuticals Inc DATE OF NAME CHANGE: 20070604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ONeill James E CENTRAL INDEX KEY: 0001307183 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36395 FILM NUMBER: 161683549 MAIL ADDRESS: STREET 1: 15 GREENBRIAR CIRCLE CITY: ANDOVER STATE: MA ZIP: 01810 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2015-06-26 0 0001401914 Cerulean Pharma Inc. CERU 0001307183 ONeill James E C/O CERULEAN PHARMA INC. 35 GATEHOUSE DRIVE WALTHAM MA 02451 0 1 0 0 Principal Accounting Officer Common Stock 1000 D Incentive Stock Option (right to buy) 4.40 2024-10-07 Common Stock 13000 D Incentive Stock Option (right to buy) 8.16 2025-02-04 Common Stock 4900 D This option was granted on October 8, 2014 and is scheduled to vest over four years, with 25% of the shares vesting on the first anniversary of September 15, 2014 and the remainder vesting over the ensuing three years at a rate of 2.0833% per month. This option was granted on February 5, 2015. The shares underlying the option are scheduled to vest in equal monthly installments from January 31, 2015 through December 31, 2018. /s/ Alejandra Carvajal, as attorney-in-fact for James E. O'Neill 2016-05-27 EX-24.3_658301 2 poa.txt POA DOCUMENT LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS Know all by these presents, that the undersigned hereby makes, constitutes and appoints each of Ronan O'Brien and Alejandra Carvajal, signing singly and each acting individually, as the undersigned's true and lawful attorney in fact with full power and authority as hereinafter described to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer of Cerulean Pharma Inc. (the "Company"), Forms 3, 4, and 5 (including any amendments thereto) in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder (the "Exchange Act"); (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to prepare, complete and execute any such Form 3, 4, or 5, prepare, complete and execute any amendment or amendments thereto, and timely deliver and file such form with the United States Securities and Exchange Commission (the "SEC") and any stock exchange or similar authority, including without limitation the filing of a Form ID, Update Passphrase, or any other application materials to enable the undersigned to gain or maintain access to the Electronic Data Gathering, Analysis and Retrieval system of the SEC; (3) seek or obtain, as the undersigned's representative and on the undersigned's behalf, information regarding transactions in the Company's securities from any third party, including brokers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such person to release any such information to such attorney in fact and approves and ratifies any such release of information; and (4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney in fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney in fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney in fact may approve in such attorney in fact's discretion. The undersigned hereby grants to each such attorney in fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney in fact, or such attorney in fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys in fact, in serving in such capacity at the request of the undersigned, are not assuming nor relieving, nor is the Company assuming nor relieving, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act. The undersigned acknowledges that neither the Company nor the foregoing attorneys in fact assume (i) any liability for the undersigned's responsibility to comply with the requirement of the Exchange Act, (ii) any liability of the undersigned for any failure to comply with such requirements, or (iii) any obligation or liability of the undersigned for profit disgorgement under Section 16(b) of the Exchange Act. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys in fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 27th day of May, 2016. /s/ James E. O'Neill James E. O'Neill