As filed with the Securities and Exchange Commission on June 26, 2020

Registration No. 333-[     ]






Washington, D.C. 20549







(Exact name of registrant as specified in its charter)


Delaware   13-3191702
(State or other jurisdiction   (I.R.S. employer
of incorporation or organization)   identification number)


Perryville III Building

53 Frontage Road, Suite 220

Hampton, New Jersey 08827

(908) 200-7500

(Address of principal executive offices; zip code)


Celldex Therapeutics, Inc. Amended and Restated 2008 Stock Option and Incentive Plan

(Full title of the plan)


Sam Martin

Chief Financial Officer


Perryville III Building

53 Frontage Road, Suite 220

Hampton, New Jersey 08827

(908) 200-7500

(Name, address and telephone number, including area code, of agent for service)


Copies to:


Anthony O. Pergola, Esq.

Lowenstein Sandler LLP

1251 Avenue of the Americas

New York, New York 10020

(212) 262-6700


Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.


Large accelerated filer ¨ Accelerated filer ¨
Non-accelerated filer x Smaller reporting company x
  Emerging growth company ¨


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ¨




Title of Securities to be
  Amount to
Price Per
Price (3)
   Amount of
Common Stock, $0.001 par value per share   1,900,000   $12.26   $23,294,000   $3,024 


(1)  This represents shares of common stock, par value $0.001 per share (“Common Stock”) which may be issued with respect to awards, including stock options, stock appreciation rights, restricted stock awards, restricted stock units, performance shares, performance units, deferred stock awards, other stock-based award or deferred compensation award, which may be granted under the Celldex Therapeutics, Inc. Amended and Restated 2008 Stock Option and Incentive Plan (as amended, effective as of June 18, 2020) (the “2008 Plan”).


(2)  In accordance with Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement also covers such indeterminate number of additional shares of Common Stock as may be required pursuant to the 2008 Plan in the event of a stock dividend, reverse stock split, split-up, recapitalization, forfeiture of stock under the plan or other similar event.


(3)  Estimated, in accordance with Rule 457(c) and Rule 457(h)(1) of the Securities Act, solely for the purpose of calculating the registration fee.  The proposed maximum offering price per share and the proposed maximum aggregate offering price are based on the average of the high and low prices for a share of Common Stock on the NASDAQ Capital Market on June 22, 2020, which is within five business days prior to the date of this registration statement.  Pursuant to General Instruction E to Form S-8, the registration fee is calculated only with respect to additional securities registered under the 2008 Plan.









This Registration Statement is being filed by the registrant, Celldex Therapeutics, Inc. (the “Company”), for the purpose of registering an additional 1,900,000 shares of common stock, par value $0.001 per share (“Common Stock”), to be issued under the Celldex Therapeutics, Inc. Amended and Restated 2008 Stock Option and Incentive Plan (as amended, effective as of June 18, 2020) (the “2008 Plan”), pursuant to General Instruction E on Form S-8 (Registration of Additional Securities).


The contents of the original registration on Form S-8 for the 2008 Plan filed on June 18, 2008 (File No. 333-151728) are hereby incorporated by reference and made a part hereof. Any items in the Company’s Registration Statement on Form S-8 (Registration No. 333-151728) not expressly changed hereby shall be as set forth in the Company’s Registration Statement on Form S-8 (Registration No. 333-151728). The stockholders of the registrant approved amending the 2008 Plan for this purpose at the annual meeting of stockholders held on June 18, 2020.





Item 3.Incorporation of Certain Documents by Reference


The Securities and Exchange Commission allows us to “incorporate” into this registration statement information we file with other documents. This means that we may disclose important information to you by referring to other documents that contain that information. The information incorporated by reference is considered to be part of this registration statement, and information we file later with the Securities and Exchange Commission will automatically update and supersede this information. We incorporate by reference the documents listed below, except to the extent information in those documents is different from the information contained in this registration statement:


·Our Annual Report on Form 10-K for the year ended December 31, 2019, filed on March 26, 2020.


·Our Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2020, filed on May 6, 2020.


·Our Current Reports on Form 8-K filed with the Commission on March 26, 2020, May 6, 2020, June 12, 2020, June 15, 2020, June 17, 2020, and June 18, 2020 (in each case except to the extent furnished but not filed).


·The description of our Common Stock contained in our Registration Statement on Form 8-A, filed with the Commission on September 22, 1986 under Section 12 of the Securities Exchange Act of 1934, as amended, and any amendments or reports filed for the purpose of updating such description.


All documents subsequently filed by us with the Securities and Exchange Commission pursuant to Sections 13(a), 13(c), 14 or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), prior to the filing of a post-effective amendment to this registration statement, which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference in this registration statement and to be a part hereof from the date of filing of such documents, except as to specific sections of such documents as set forth therein. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained in any subsequently filed document, which also is deemed to be incorporated by reference herein, modifies or supersedes such statement.


Item 8.Exhibits


The exhibits accompanying this registration statement are listed on the accompanying exhibit index.







5.1   Opinion of Lowenstein Sandler LLP*
23.1   Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm of Celldex Therapeutics, Inc.*
23.2   Consent of Lowenstein Sandler LLP (filed as part of Exhibit 5.1).*
24.1   Power of Attorney (contained on signature page to this registration statement on Form S-8)*
99.1   Celldex Therapeutics, Inc. Amended and Restated 2008 Stock Option and Incentive Plan (as amended, effective as of June 18, 2020).**



* Filed herewith.


** Filed on Form 8-K on June 18, 2020 with the Securities and Exchange Commission.







Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Hampton, State of New Jersey, on June 26, 2020.


  By: /s/ Anthony S. Marucci
    Anthony S. Marucci
    President and Chief Executive Officer
    (Principal Executive Officer)
  By: /s/ Sam Martin
    Sam Martin
    Senior Vice President and Chief Financial Officer
    (Principal Financial Officer and Principal Accounting Officer)


KNOW ALL BY THESE PRESENTS that each individual whose signature appears below constitutes and appoints Anthony S. Marucci and Sam Martin, and each of them singly, as such person’s true and lawful attorney-in-fact and agent with full power of substitution and resubstitution, for such person in such person’s name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement, and to file the same, with all exhibits thereto, and all documents in connection therewith, with the Securities and Exchange Commission, granting unto each said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as such person might or could do in person, hereby ratifying and confirming all that any said attorney-in-fact and agent, or any substitute or substitutes of any of them, may lawfully do or cause to be done by virtue hereof.


Signature   Title   Date
/s/ Anthony S. Marucci       June 26, 2020
Anthony S. Marucci   President, Chief Executive Officer and Director    
/s/ Karen L. Shoos       June 26, 2020
Karen L. Shoos   Director, Chair of the Board of Directors    
/s/ Keith L. Brownlie       June 26, 2020
Keith L. Brownlie   Director    
/s/ Herbert J. Conrad       June 26, 2020
Herbert J. Conrad   Director    
/s/ James J. Marino       June 26, 2020
James J. Marino   Director    
/s/ Harry H. Penner, Jr.       June 26, 2020
Harry H. Penner, Jr.   Director    





Exhibit 5.1


Letterhead of Lowenstein Sandler LLP


June 26, 2020


Celldex Therapeutics, Inc.

Perryville III Building

53 Frontage Road, Suite 220

Hampton, New Jersey 08827


Re:          Registration Statement on Form S-8


Ladies and Gentlemen:


We have acted as counsel to Celldex Therapeutics, Inc., a Delaware corporation (the “Company”), in connection with the Company’s filing on the date hereof with the Securities and Exchange Commission (the “SEC”) of a Registration Statement on Form S-8 (the “Registration Statement”) under the Securities Act of 1933, as amended (the “Securities Act”).   The Registration Statement relates to the registration of an additional 1,900,000 shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), issuable pursuant to the Celldex Therapeutics, Inc. Amended and Restated 2008 Stock Option and Incentive Plan (as amended, effective as of June 18, 2020) (the “2008 Plan”).


In connection with rendering this opinion, we have examined the 2008 Plan and the amendment thereto and such corporate records, certificates and other documents and such questions of law as we have considered necessary and appropriate for the purposes of this opinion.  In such examination, we have assumed the genuineness of all signatures, the legal capacity of all natural persons, the authenticity of all documents submitted to us as originals, the conformity of original documents of all documents submitted to us as certified, conformed or photostatic copies and the authenticity of the originals of such latter documents. As to any facts material to our opinion, we have, when relevant facts were not independently established, relied upon the Registration Statement and the aforesaid records, certificates and documents.


We assume that the Company has sufficient unissued and unreserved shares of Common Stock and (or will validly amend its certificate of incorporation, to authorize a sufficient number of shares of Common Stock prior to the issuance thereof) available for issuance as provided in the Registration Statement and any related amendment thereto or prospectus supplement.


Based on the foregoing, and subject to the qualifications stated herein, we are of the opinion that the Shares, upon issuance and delivery as contemplated by the 2008 Plan, will be validly issued, fully paid and nonassessable outstanding shares of Common Stock.


The opinion expressed herein is limited to the corporate laws of the State of Delaware, as in effect on the date hereof, and we express no opinion as to the effect on the matters covered by this letter of the laws of any other jurisdiction. We assume no obligation to advise you of facts or circumstances that come to our attention or changes in law that occur which could affect the opinions contained herein.


We hereby consent to the filing of this opinion as an exhibit to the Registration Statement and to the references to this firm in the Registration Statement.  In giving such consent, we do not thereby admit that we are in the category of persons whose consent is required under Section 7 of the Securities Act, or the rules and regulations of the Commission thereunder.


  Very truly yours,
  /s/ Lowenstein Sandler LLP




Exhibit 23.1




We hereby consent to the incorporation by reference in this Registration Statement on Form S-8 of Celldex Therapeutics, Inc. of our report dated March 26, 2020 relating to the financial statements, which appears in Celldex Therapeutics, Inc.'s Annual Report on Form 10-K for the year ended December 31, 2019.


/s/ PricewaterhouseCoopers LLP
Boston, Massachusetts
June 26, 2020