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