0000919574-15-004911.txt : 20150615 0000919574-15-004911.hdr.sgml : 20150615 20150615133915 ACCESSION NUMBER: 0000919574-15-004911 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150611 FILED AS OF DATE: 20150615 DATE AS OF CHANGE: 20150615 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: Morenstein Scott D CENTRAL INDEX KEY: 0001576113 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36179 FILM NUMBER: 15930822 MAIL ADDRESS: STREET 1: C/O CAXTON ALTERNATIVE MANAGEMENT LP STREET 2: 500 PARK AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 p6658732.xml OWNERSHIP DOCUMENT X0306 4 2015-06-11 0 0001327467 Celator Pharmaceuticals Inc CPXX 0001576113 Morenstein Scott D C/O CAXTON ALTERNATIVE MANAGEMENT LP 500 PARK AVENUE, 11TH FLOOR NEW YORK NY 10022 1 0 0 0 Stock Option (Right to Buy) 2.60 2015-06-11 4 A 0 14000 0 A 2025-06-11 Common Stock 14000 14000 D Stock Option (Right to Buy) 2.80 2024-06-12 Common Stock 14000 14000 D Stock Option (Right to Buy) 3.116 2023-06-03 Common Stock 28000 28000 D Warrant 3.58 2020-04-29 Common Stock 358 358 D Warrant 3.58 2020-04-29 Common Stock 314611 314611 I See Footnote The options vest as follows: (i) 4,667 options vest on June 10, 2016; (ii) 1,167 options vest on the 11th day of each of seven consecutive fiscal quarters beginning on September 11, 2016 and continuing through March 11, 2018, and (iii) 1,164 options vest on June 11, 2018. The options vest as follows: (i) 4,666 options vested on June 12, 2015 and are currently exercisable (ii) 1,166 options vest on the 12th day of each of seven consecutive fiscal quarters beginning on September 12, 2015 and continuing through March 12, 2017; and (iii) 1,172 options vest on June 12, 2017. These securities are owned by Scott D. Morenstein, who is the Reporting Person. The options vest as follows: (i) 9,334 options vested on June 3, 2014 and are currently exercisable; (ii) 9,332 vested over four consecutive fiscal quarters beginning on September 3, 2014 through June 3, 2015 and are currently exercisable, (iii) 2,333 options vest on the third day of each of three consecutive fiscal quarters beginning on September 3, 2015 and continuing through March 3, 2016; and (iv) 2,335 options vest on June 3, 2016. These warrants are currently exercisable. The reported securities are directly owned by Valence CDK SPV, L.P. ("CDK SPV"). Valence Life Sciences GP II, LLC ("GP II") is the sole general partner of CDK SPV. In his capacity as an advisor to GP II, the reporting person may be deemed to beneficially own securities held by CDK SPV. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. /s/ Scott D. Morenstein 2015-06-15