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 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 04/10/2014 |
3. Issuer Name and Ticker or Trading Symbol
Cerulean Pharma Inc. [ CERU ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (1) | 01/27/2021 | Common Stock | 10,559(2) | $3.34(2) | D | |
Stock Option (right to buy) | (3) | 01/24/2022 | Common Stock | 13,786(2) | $3.77(2) | D | |
Stock Option (right to buy) | (4) | 12/18/2022 | Common Stock | 14,693(2) | $3.92(2) | D | |
Stock Option (right to buy) | (5) | 01/09/2024 | Common Stock | 13,786(2) | $10.59(2) | D | |
Stock Option (right to buy) | 01/04/2014(6) | 03/03/2020 | Common Stock | 9,650(2)(7) | $3.34(2)(7) | D |
Explanation of Responses: |
1. This option was granted on January 28, 2011. This option vested as to 25% of the underlying shares on December 31, 2011, and vests as to an additional 2.08333% of the shares monthly thereafter through and including December 31, 2014. |
2. Reflects a 1-for-14.5074 reverse stock split effected on March 31, 2014. |
3. This option was granted on January 25, 2012. This option vested as to 25% of the underlying shares on December 31, 2012, and vests as to an additional 2.08333% of the shares monthly thereafter through and including December 31, 2015. |
4. This option was granted on December 19, 2012. This option vested as to 25% of the underlying shares on December 31, 2013, and vests as to an additional 2.08333% of the shares monthly thereafter through and including December 31, 2016. |
5. This option was granted on January 10, 2014. The shares under this option vest in 48 equal monthly installments from and after December 31, 2013 through December 31, 2017. |
6. This option was granted on March 4, 2010. This option was fully vested as of January 4, 2014. |
7. Reflects a reduction in exercise price on January 28, 2011 from $5.80 per share to $3.34 per share. |
Remarks: |
/s/ Karen L. Roberts | 04/10/2014 | |
** 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. |