0000905718-17-000646.txt : 20170705 0000905718-17-000646.hdr.sgml : 20170705 20170705163919 ACCESSION NUMBER: 0000905718-17-000646 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170701 FILED AS OF DATE: 20170705 DATE AS OF CHANGE: 20170705 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Celldex Therapeutics, Inc. CENTRAL INDEX KEY: 0000744218 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 133191702 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 53 FRONTAGE ROAD STREET 2: SUITE 220 CITY: HAMPTON STATE: NJ ZIP: 08827 BUSINESS PHONE: 908-200-7500 MAIL ADDRESS: STREET 1: 53 FRONTAGE ROAD STREET 2: SUITE 220 CITY: HAMPTON STATE: NJ ZIP: 08827 FORMER COMPANY: FORMER CONFORMED NAME: AVANT IMMUNOTHERAPEUTICS INC DATE OF NAME CHANGE: 19980828 FORMER COMPANY: FORMER CONFORMED NAME: T CELL SCIENCES INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Martin Samuel Bates CENTRAL INDEX KEY: 0001709024 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15006 FILM NUMBER: 17948643 MAIL ADDRESS: STREET 1: C/O CELLDEX THERAPEUTICS, INC. STREET 2: 53 FRONTAGE ROAD, SUITE 220 CITY: HAMPTON STATE: NJ ZIP: 08827 3 1 martin_fm3jun302017.xml OWNERSHIP DOCUMENT X0206 3 2017-07-01 0 0000744218 Celldex Therapeutics, Inc. CLDX 0001709024 Martin Samuel Bates C/O CELLDEX THERAPEUTICS, INC. 53 FRONTAGE ROAD, SUITE 220 HAMPTON NJ 08827 0 1 0 0 SVP and CFO Employee Stock Option (right to buy) 2.80 2021-08-05 Common Stock 1000 D Employee Stock Option (right to buy) 6.37 2022-09-20 Common Stock 5250 D Employee Stock Option (right to buy) 16.36 2023-07-01 Common Stock 7500 D Employee Stock Option (right to buy) 13.45 2024-06-04 Common Stock 12000 D Employee Stock Option (right to buy) 25.41 2025-06-10 Common Stock 21000 D Employee Stock Option (right to buy) 4.72 2026-06-08 Common Stock 21000 D Employee Stock Option (right to buy) 2.32 2027-06-15 Common Stock 65000 D The option became exercisable as to 25% of the shares on 8/5/2012 and the remaining shares vested quarterly (in equal amounts) over the subsequent 12 quarters. This option is currently fully vested. The option became exercisable as to 25% of the shares on 9/20/2013 and the remaining shares vested quarterly (in equal amounts) over the subsequent 12 quarters. This option is currently fully vested. The option became exercisable as to 25% of the shares on 7/1/2014 and the remaining shares vested quarterly (in equal amounts) over the subsequent 12 quarters. This option is currently fully vested. The option became exercisable as to 25% of the shares on 6/4/2015 and the remaining shares vest quarterly (in equal amounts) over the subsequent 12 quarters. The option became exercisable as to 25% of the shares on 6/10/2016 and the remaining shares vest quarterly (in equal amounts) over the subsequent 12 quarters. The option became exercisable as to 25% of the shares on 6/8/2017 and the remaining shares vest quarterly (in equal amounts) over the subsequent 12 quarters. The option becomes exercisable as to 25% of the shares on 6/15/2018 and the remaining shares vest quarterly (in equal amounts) over the subsequent 12 quarters. /s/ Anthony S. Marucci, attorney-in-fact for Samuel Bates Martin 2017-07-05 EX-99 2 martin_poa.htm POWER OF ATTORNEY

POWER OF ATTORNEY

Know all by those present, that the undersigned hereby constitutes and appoints Anthony S. Marucci his true and lawful attorney-in-fact to:

execute for and on behalf of the undersigned Schedules 13D and 13G, Form ID, and Forms 3, 4 and 5 in accordance with Sections 13 and 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;

do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Schedules 13D or 13G, Form ID and Forms 3, 4 or 5, and the timely filing of such Forms with the United States Securities and Exchange Commission and any other authority; and

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, including without limitation the execution and filing of a Form 4 with respect to a transaction which may be reported on a Form 5, 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 his discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite, necessary and proper to be done in the exercise of any of the rights and powers herein granted, as fully and to all intents and purposes as he might or could do in person, with full power of substitution and resubstitution, hereby ratifying and confirming all that such attorney-in-fact, or his 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 any of the undersigned's responsibilities to comply with Sections 13 and 16 of the Securities Exchange Act of 1934.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 8th day of June, 2017.

/s/ Sam Martin

Name: Sam Martin