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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Cellectar Biosciences, Inc. Series A Warrant (CLRBZ) | $ 3.04 | 04/15/2016 | P | 234,742 | 04/20/2016 | 04/20/2021 | Cellectar Biosciences, Inc. (CLRB) Common Stock | 234,742 (1) | $ 0.01 | 41,915 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hertzberg Richard 1329 STRATFORD COURT DEL MAR, CA 92014 |
Significant Owner |
Richard Hertzberg | 06/14/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The 234,742 Class A Warrants (CLRBZ) purchased on April 15, 2016 "are not exercisable by their holder to the extent (but only to the extent) that such holder or any of its affiliates would beneficially own in excess of 4.99% subject to increase to 9.99%." (Cellectar Biosciences Prospectus, Dated April 15, 2016, Registration No. 333-208638). Thus, the Beneficial Ownership effect of these warrants can be calculated only to the extent that the exercise of such warrants would not increase the Beneficial Ownership of Hertzberg or his affiliates of Cellectar Biosciences, Inc. to more than 4.99 % (or 9.99% if so increased). |
(2) | The 41,915 warrants include 1,000 warrants expiring on Dec 5, 2016 with a strike price of $120 and 40,915 warrants expiring Aug 20, 2019 with a strike price of $46.80. These values are the result of a Cellectar reverse split on 3/4/2016 of 10:1. The CLRBZ warrants are not included in the Beneficial Ownership total due to the exercise limitation. |