0000919574-15-008535.txt : 20151204 0000919574-15-008535.hdr.sgml : 20151204 20151204163040 ACCESSION NUMBER: 0000919574-15-008535 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151202 FILED AS OF DATE: 20151204 DATE AS OF CHANGE: 20151204 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Celator Pharmaceuticals Inc CENTRAL INDEX KEY: 0001327467 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 303B COLLEGE ROAD EAST CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: (609) 243-0123 MAIL ADDRESS: STREET 1: 303B COLLEGE ROAD EAST CITY: PRINCETON STATE: NJ ZIP: 08540 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CDK ASSOCIATES, L.L.C. CENTRAL INDEX KEY: 0001576081 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36179 FILM NUMBER: 151270443 BUSINESS ADDRESS: STREET 1: C/O CAXTON CORPORATION STREET 2: 731 ALEXANDER ROAD, BUILDING #2 CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: 609-419-1800 MAIL ADDRESS: STREET 1: C/O CAXTON CORPORATION STREET 2: 731 ALEXANDER ROAD, BUILDING #2 CITY: PRINCETON STATE: NJ ZIP: 08540 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAXTON CORP CENTRAL INDEX KEY: 0001388551 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36179 FILM NUMBER: 151270444 BUSINESS ADDRESS: STREET 1: 731 ALEXANDER ROAD STREET 2: BUILDING 2 CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: 609-419-1800 MAIL ADDRESS: STREET 1: 731 ALEXANDER ROAD STREET 2: BUILDING 2 CITY: PRINCETON STATE: NJ ZIP: 08540 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kovner Bruce CENTRAL INDEX KEY: 0001325713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36179 FILM NUMBER: 151270445 MAIL ADDRESS: STREET 1: C/O CAXTON ASSOCIATES STREET 2: 500 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 p6923731.xml OWNERSHIP DOCUMENT X0306 4 2015-12-02 0 0001327467 Celator Pharmaceuticals Inc CPXX 0001325713 Kovner Bruce C/O CAXTON CORPORATION 731 ALEXANDER ROAD, BLDG. 2 PRINCETON NJ 08540 0 0 0 1 See Remarks Section 0001388551 CAXTON CORP 731 ALEXANDER ROAD BUILDING 2 PRINCETON NJ 08540 0 0 0 1 See Remarks Section 0001576081 CDK ASSOCIATES, L.L.C. C/O CAXTON CORPORATION 731 ALEXANDER ROAD, BLDG. 2 PRINCETON NJ 08540 0 0 0 1 See Remarks Section Warrant 5.2123 2015-12-02 4 P 0 34647 0.24 A 2019-08-28 Common Stock 34647 34647 I By CDK Associates, LLC Warrant 3.58 2015-12-02 4 P 0 38805 0.24 A 2020-04-29 Common Stock 38805 889403 I By CDK Associates, LLC These warrants are currently exercisable. These warrants are owned directly by CDK Associates, LLC, which is a reporting person. The warrants directly owned by CDK Associates, LLC may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each of Caxton Corporation and Bruce Kovner disclaims beneficial ownership of these warrants except to the extent of its or his pecuniary interest therein, and the inclusion of these warrants in this report shall not be deemed to be an admission of the beneficial ownership of all of the reported warrants for purposes of Section 16 or for any other purpose. Scott Morenstein, a director of the Issuer, is an employee of Caxton Alternative Management LP, an affiliate of Caxton Corporation. Bruce Kovner, By: /s/ Heath Weisberg, Attorney-in-Fact 2015-12-04 Caxton Corporation, By: /s/ Heath Weisberg, Chief Compliance Officer 2015-12-04 CDK Associates, LLC, By; Caxton Corporation, Manager, By: /s/ Heath Weisberg, Chief Compliance Officer 2015-12-04