X0206 3 2014-04-10 0 0001401914 Cerulean Pharma Inc. CERU 0001219021 GUIFFRE CHRISTOPHERD T C/O CERULEAN PHARMA INC. 840 MEMORIAL DRIVE CAMBRIDGE MA 02139 0 1 0 0 Sr. VP, Chief Business Officer Stock Option (right to buy) 3.77 2022-01-24 Common Stock 51698 D Stock Option (right to buy) 3.77 2022-01-24 Common Stock 53766 D Stock Option (right to buy) 3.92 2022-12-18 Common Stock 9236 D Stock Option (right to buy) 3.92 2022-12-18 Common Stock 9236 D Stock Option (right to buy) 10.59 2024-01-09 Common Stock 17922 D This option was granted on January 25, 2012. This option vested as to 25% of the underlying shares on January 17, 2013, and as to an additional 2.08333% of the shares monthly thereafter through January 17, 2016. Reflects a 1-for-14.5074 reverse stock split effected on March 31, 2014. This option was granted on January 25, 2012 and vests as follows: (i) 27,572 of the underlying shares shall vest in 24 approximately equal monthly installments, commencing upon the closing of a transformative business development transaction, as determined by the Company's board of directors and (ii) the remaining 24,126 shares shall vest upon the occurrence of a change in control event meeting certain objective criteria. This option was granted on December 19, 2012 and vests as follows: (i) 4,988 of the underlying shares shall vest in 24 approximately equal monthly installments, commencing upon the closing of a transformative business development transaction, as determined by the Company's board of directors and (ii) the remaining 4,248 shares shall vest upon the occurrence of a change in control event meeting certain objective criteria, provided that if the closing of such change of control event occurs on or prior to January 1, 2015 then, upon such closing, all of the shares underlying this option shall vest in full. This option was granted on December 19, 2012. This option vested as to 25% of the underlying shares on December 31, 2013, and as to an additional 2.08333% of the shares monthly thereafter through December 31, 2016. This option was granted on January 10, 2014. The shares subject to the option vest as to 2.08333% of the shares monthly through and including December 31, 2017. /s/ Karen L Roberts, as attorney-in-fact for Christopher D.T. Guiffre 2014-04-10