0001104659-21-032850.txt : 20210305
0001104659-21-032850.hdr.sgml : 20210305
20210305174539
ACCESSION NUMBER: 0001104659-21-032850
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210304
FILED AS OF DATE: 20210305
DATE AS OF CHANGE: 20210305
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CARUSO JAMES V
CENTRAL INDEX KEY: 0001202770
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36598
FILM NUMBER: 21719805
MAIL ADDRESS:
STREET 1: C/O CELLECTAR BIOSCIENCES, INC.
STREET 2: 8383 GREENWAY BLVD STE 600
CITY: MIDDLETON
STATE: WI
ZIP: 53562
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cellectar Biosciences, Inc.
CENTRAL INDEX KEY: 0001279704
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 043321804
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 100 CAMPUS DRIVE
CITY: FLORHAM PARK
STATE: NJ
ZIP: 07932
BUSINESS PHONE: (608) 441-8120
MAIL ADDRESS:
STREET 1: 100 CAMPUS DRIVE
CITY: FLORHAM PARK
STATE: NJ
ZIP: 07932
FORMER COMPANY:
FORMER CONFORMED NAME: NOVELOS THERAPEUTICS, INC.
DATE OF NAME CHANGE: 20050617
FORMER COMPANY:
FORMER CONFORMED NAME: COMMON HORIZONS INC
DATE OF NAME CHANGE: 20040211
4
1
tm218888d3_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-03-04
0
0001279704
Cellectar Biosciences, Inc.
CLRB
0001202770
CARUSO JAMES V
C/O CELLECTAR BIOSCIENCES, INC.,
100 CAMPUS DRIVE
FLORHAM PARK
NJ
07932
1
1
0
0
President and CEO
Common Stock
2021-03-04
4
P
0
5100
1.6978
A
86401
D
Stock option (right to buy)
1.74
2021-03-04
4
A
0
1600000
0
A
2031-03-04
Common Stock
1600000
1600000
D
Series A Warrants
30.40
2021-03-04
4
S
0
46948
0.1857
A
2016-04-20
2021-04-20
Common Stock
4694
0
D
Mr. Caruso used the proceeds of the sale of the Series A Warrants, which expire in April 2021, to purchase shares of Cellectar's common stock.
Ten warrants are convertible into one share of Cellectar's common stock at an exercise price of $30.40 per share of common stock.
This option grant is a contingent grant subject to the following conditions: (i) approval by Cellectar's stockholders of shares available under Cellectar's equity incentive plans at Cellectar's 2021 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the grant shall vest over a period of three years from the grant date, with 1/3 vesting on the first anniversary of the grant date and the remainder vesting in 24 equal monthly installments over a 24 month period beginning on the first anniversary of the grant date.
/s/ Christina Blakley, attorney-in-fact for James V. Caruso
2021-03-05