0000950142-19-001463.txt : 20190628 0000950142-19-001463.hdr.sgml : 20190628 20190628170036 ACCESSION NUMBER: 0000950142-19-001463 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20190628 DATE AS OF CHANGE: 20190628 GROUP MEMBERS: BRIAN MILLER GROUP MEMBERS: NORTH SOUND MANAGEMENT, INC. GROUP MEMBERS: NORTH SOUND TRADING, LP SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-85798 FILM NUMBER: 19930197 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: North Sound Trading, LP CENTRAL INDEX KEY: 0001633979 IRS NUMBER: 465036318 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 115 EAST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-340-8400 MAIL ADDRESS: STREET 1: 115 EAST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 SC 13G 1 eh1900873_13g-cellectar.htm SCHEDULE 13G


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. )*
 
Cellectar Biosciences, Inc.
(Name of Issuer)
 
Common Stock, par value $0.00001 per share
(Title of Class of Securities)
 
15117F500
(CUSIP Number)
 
June 20, 2019
(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed.
Rule 13d-1(b)
Rule 13d-1(c)
Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).



CUSIP No. 15117F500
SCHEDULE 13G
Page 2 of 8
 
 
1
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
North Sound Management, Inc.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  o
(b)  o
3
SEC USE ONLY
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
5
SOLE VOTING POWER
 
850,000
6
SHARED VOTING POWER
 
0
7
SOLE DISPOSITIVE POWER
 
850,000
8
SHARED DISPOSITIVE POWER
 
0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
850,000
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
9.0%
 
12
TYPE OF REPORTING PERSON
 
CO
 

 

CUSIP No. 15117F500
SCHEDULE 13G
Page 3 of 8
 
 
1
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
Brian Miller
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  o
(b)  o
3
SEC USE ONLY
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
United States of America
 
NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
5
SOLE VOTING POWER
 
850,000
6
SHARED VOTING POWER
 
0
7
SOLE DISPOSITIVE POWER
 
850,000
8
SHARED DISPOSITIVE POWER
 
0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
850,000
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
9.0%
 
12
TYPE OF REPORTING PERSON
 
IN
 


CUSIP No. 15117F500
SCHEDULE 13G
Page 4 of 8
 
 
1
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
North Sound Trading, LP
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  o
(b)  o
3
SEC USE ONLY
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
5
SOLE VOTING POWER
 
850,000
6
SHARED VOTING POWER
 
0
7
SOLE DISPOSITIVE POWER
 
850,000
8
SHARED DISPOSITIVE POWER
 
0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
850,000
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
9.0%
 
12
TYPE OF REPORTING PERSON
 
PN
 


CUSIP No. 15117F500
SCHEDULE 13G
Page 5 of 8
 
 
ITEM 1.
(a)
Name of Issuer:
   
 
Cellectar Biosciences, Inc. (the “Issuer”)
     
 
(b)
Address of Issuer’s Principal Executive Offices:
   
100 Campus Drive
Florham Park, New Jersey 07932
   
ITEM 2.
(a)
Name of Person Filing:
   
 
This statement is being filed on behalf of each of the following persons (each, a “Reporting Person” and, collectively, the “Reporting Persons”):
 
     
(1)          North Sound Management, Inc.
(2)          Brian Miller
(3)          North Sound Trading, LP
       
   
Mr. Miller is the sole shareholder of North Sound Management, Inc., the general partner of North Sound Trading, LP.
 
 
(b)
Address of Principal Business Office, or if none, Residence:
 
The principal business address for each of the Reporting Persons is:
 
c/o North Sound Management, Inc.
115 East Putnam Avenue
Greenwich, CT 06830
     
 
(c)
Citizenship:
   
 
See row 4 of the cover page of each Reporting Person.
 
 
(d)
Title of Class of Securities:
   
 
See cover page.
 
 
(e)
CUSIP Number:
 
See cover page.
     
ITEM 3.
IF THIS STATEMENT IS FILED PURSUANT TO §240.13D-1(B) OR 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A:
     
 
Not applicable.
     
ITEM 4.
OWNERSHIP.
   
 
(a)
Amount beneficially owned:
 
See row 9 of the cover page of each Reporting Person
 
 
(b)
Percent of class:
 
Each of the Reporting Persons may be deemed to be the beneficial owner of 9.0% of the outstanding shares of the Issuer’s common stock, par value $0.00001 per share (“Common Stock”).
 
The calculations of beneficial ownership percentage is based on 9,396,036 shares of Common Stock issued and outstanding as of May 30, 2019, as reported in the Issuer’s Form S-1 filed with the Securities and Exchange Commission on May 31, 2019.
 
 
 

CUSIP No. 15117F500
SCHEDULE 13G
Page 6 of 8
 
 
 
(c)
Number of shares as to which such person has:
     
   
(i)
Sole power to vote or to direct the vote:
 
See row 5 of the cover page of each Reporting Person.
 
   
(ii)
Shared power to vote or to direct the vote:
 
See row 6 of the cover page of each Reporting Person.
 
   
(iii)
Sole power to dispose or to direct the disposition of:
 
See row 7 of the cover page of each Reporting Person.
 
   
(iv)
Shared power to dispose or to direct the disposition of:
 
See row 8 of the cover page of each Reporting Person.
 
ITEM 5.
OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
   
 
Not applicable.
   
ITEM 6.
OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
   
 
Not applicable.
   
ITEM 7.
IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
 
 
Not applicable.
   
ITEM 8.
IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
 
 
Not applicable.
   
ITEM 9.
NOTICE OF DISSOLUTION OF GROUP.
   
 
Not applicable.
 
ITEM 10.
CERTIFICATION.
   
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the Issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
   
 
 

CUSIP No. 15117F500
SCHEDULE 13G
Page 7 of 8
 

SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated:  June 28, 2019

 
NORTH SOUND MANAGEMENT, INC.
 
         
 
By:
/s/ Brian Miller  
   
Name:
Brian Miller
 
   
Title:
President
 
         
 
NORTH SOUND TRADING, LP
 
         
 
By: North Sound Management, Inc., its
 
 
general partner
   
         
 
By:
/s/ Brian Miller  
   
Name:
Brian Miller
 
   
Title:
President
 
         
         
         
  /s/ Brian Miller  
 
Brian Miller
 
 

 

CUSIP No. 15117F500
SCHEDULE 13G
Page 8 of 8

Exhibit Index
 
 




EX-99.1 2 eh1900873_ex9901.htm EXHIBIT 99.1
EXHIBIT 99.1

JOINT FILING AGREEMENT
PURSUANT TO RULE 13d-1(k)
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him or it contained herein and therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that he or it knows or has reason to believe that such information is inaccurate.
Dated: June 28, 2019


 
NORTH SOUND MANAGEMENT, INC.
 
         
 
By:
/s/ Brian Miller  
   
Name:
Brian Miller
 
   
Title:
President
 
         
 
NORTH SOUND TRADING, LP
 
         
 
By: North Sound Management, Inc., its
 
 
general partner
   
         
 
By:
/s/ Brian Miller  
   
Name:
Brian Miller
 
   
Title:
President
 
         
         
         
  /s/ Brian Miller  
 
Brian Miller