Celator Pharmaceuticals Inc 4

4 · Celator Pharmaceuticals Inc · Filed Feb 12, 2014

Form 4

Period: 2014-02-06

Director

Transactions

Other
Common Stock
2014-02-10−95,945→ 0 total(indirect: See Footnotes)
Other
Common Stock
2014-02-10+1,123,612→ 1,123,612 total(indirect: See Footnotes)
Other
Warrant
2014-02-06−467,358→ 0 total(indirect: See Footnotes)
Exercise: $3.58Exp: 2020-04-29→ Common Stock (467,358 underlying)
Other
Warrant
2014-02-06+358→ 358 total
Exercise: $3.58Exp: 2020-04-29→ Common Stock (358 underlying)
Other
Common Stock
2014-02-10−1,669,138→ 0 total(indirect: See Footnotes)
Other
Common Stock
2014-02-10+1,277→ 1,277 total
Other
Warrant
2014-02-06−26,864→ 0 total(indirect: See Footnotes)
Exercise: $3.58Exp: 2020-04-29→ Common Stock (26,864 underlying)
Other
Warrant
2014-02-06+314,611→ 314,611 total(indirect: See Footnotes)
Exercise: $3.58Exp: 2020-04-29→ Common Stock (314,611 underlying)

Footnotes (6)

[F1]Pursuant to the dissolution of Valence Advantage Life Science Fund II, LP. ("Fund II"), 1,669,138 shares of common stock and 467,358 warrants were distributed in kind to the partners of Fund II on a pro rata basis without the receipt of any additional consideration.
[F2]Valence Life Sciences GP II, LLC ("GP II") was the sole general partner of Fund II and is the sole general partner of Valence Advantage Life Sciences Side Fund II, LP ("Side Fund II") and Valence CDK SPV, L.P. ("CDK SPV"). In his capacity as an advisor to GP II, the reporting person may be deemed to beneficially own securities held by Fund II, Side Fund II and CDK SPV. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
[F3]Side Fund II distributed 95,945 shares of common stock and 26,864 warrants in kind to its sole limited partner without the receipt of any additional consideration.
[F4]In connection with the transaction described in footnote 1, CDK SPV received 1,123,612 shares of common stock and 314,611 warrants.
[F5]In connection with the transaction described in footnote 1, the reporting person received 1,277 shares of common stock and 358 warrants.
[F6]The warrants are immediately exercisable.

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