SC 13D/A 1 dsc13da.htm SCHEDULE 13D AMENDMENT NO. 4 Schedule 13D Amendment No. 4

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

(Rule 13d-101)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO

13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)

(Amendment No. 4)1

Celldex Therapeutics, Inc.

(Name of Issuer)

Common Stock par value $0.001 per share

(Title Class of Securities)

15117B103

(CUSIP Number)

Bristol-Myers Squibb Company

345 Park Avenue

New York, New York 10154

(212) 546-4000

Attn: General Counsel

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

December 7, 2009

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  ¨

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

 

 

1

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes)

 

 

 


CUSIP No. 15117B103   13D   Page 2 of 5

 

  1  

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION OF ABOVE PERSON

 

Medarex, Inc.

IRS Identification Number 22-2822175

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  ¨

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS*

 

    AF, OO

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     7    

SOLE VOTING POWER

 

    0

    
     8   

SHARED VOTING POWER

 

    2,474,947

    
     9   

SOLE DISPOSITIVE POWER

 

    0

    
   10   

SHARED DISPOSITIVE POWER

 

    2,474,947

    

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    2,474,947

    

12

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

   ¨

13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    7.83%

    

14

 

TYPE OF REPORTING PERSON

 

    CO

    

*SEE INSTRUCTION BEFORE FILLING OUT


CUSIP No. 15117B103   13D   Page 3 of 5

 

15  

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION OF ABOVE PERSON

 

Bristol-Myers Squibb Company

IRS Identification Number 22-0790350

    
16  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  ¨

 

    
17  

SEC USE ONLY

 

    
18  

SOURCE OF FUNDS*

 

    AF, OO

    
19  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)

 

   x
20  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   21    

SOLE VOTING POWER

 

    0

    
   22    

SHARED VOTING POWER

 

    2,474,947

    
   23    

SOLE DISPOSITIVE POWER

 

    0

    
   24    

SHARED DISPOSITIVE POWER

 

    2,474,947

    

25

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    2,474,947

    

26

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

   ¨

27

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    7.83%

    

28

 

TYPE OF REPORTING PERSON

 

    CO

    

 


CUSIP No. 15117B103   13D   Page 4 of 5

 

This Amendment No. 4 (the “Schedule 13D/A”) amends the Statement on Schedule 13D/A (the “Schedule 13D”) filed with the Securities and Exchange Commission (the “SEC”) on November 25, 2009 by Medarex, Inc. (“Medarex”) and Bristol-Myers Squibb Company (“Bristol-Myers” and together with Medarex, the “Reporting Persons”). The number of securities beneficially owned by the Reporting Persons has materially decreased. The Schedule 13D is amended as follows and, except as otherwise provided herein, all items of the Schedule 13D remain unchanged.

 

Item 5. Interest in Securities of the Issuer

The Reporting Persons beneficially own 2,474,947 shares of the Common Stock (7.83% of the Celldex’s issued and outstanding shares of Common Stock, based upon information set forth in the Celldex’s Form 10-Q for the quarter ended September 30, 2009, indicating that 31,602,188 shares of Common Stock were issued and outstanding on September 30, 2009). The Reporting Persons share voting and investment power with regard to all 2,474,947 shares of Common Stock that they beneficially own. To the knowledge of the Reporting Persons, none of the officers and directors of the Reporting Persons is the beneficial owner of any shares of the Common Stock of Celldex.

The following dispositions of Common Stock were effected on the following dates and at the following prices in the past 60 days:

 

Date

   No. of Shares    Price
Per Share*

November 30, 2009

   67,672    $ 4.48

December 1, 2009

   72,664    $ 4.52

December 2, 2009

   80,278    $ 4.64

December 3, 2009

   56,762    $ 4.71

December 4, 2009

   34,000    $ 4.54

December 7, 2009

   68,765    $ 4.58

December 8, 2009

   34,135    $ 4.55

 

Item 7. Material to be Filed as Exhibits

Not Applicable.


CUSIP No. 15117B103   13D   Page 5 of 5

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

    MEDAREX, INC.
Date:  

December 9, 2009

  By:  

/S/    SONIA VORA        

    Name:   Sonia Vora
    Title:   Secretary

 

    BRISTOL-MYERS SQUIBB COMPANY
Date:  

December 9, 2009

  By:  

/S/    SANDRA LEUNG        

    Name:   Sandra Leung
    Title:   Senior Vice President and General Counsel