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