SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
C/O CELLDEX THERAPEUTICS, INC. |
119 FOURTH AVENUE |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/01/2011
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3. Issuer Name and Ticker or Trading Symbol
Celldex Therapeutics, Inc.
[ CLDX ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
Sr. VP & CBO
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of Responses: |
No securities are beneficially owned. |
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Ronald A. Pepin, Ph.D. |
07/06/2011 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Exhibit 24
POWER OF ATTORNEY
Know all by these presents, that the
undersigned hereby constitutes and appoints
each of Avery W. Catlin and Anthony S.
Marucci [his/his] true and lawful attorney-
in-fact to:
1. 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;
2. do and perform any and all acts
for and on behalf of the
undersigned which may be necessary
or desirable to complete the
execution of 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
3. 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 27th day of June, 2011.
Ronald Pepin
Name:
-2-