Amended Statement of Ownership (sc 13g/a)
February 12 2021 - 9:53AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
DC 20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934 (Amendment
No. 1)*
Celldex
Therapeutics, Inc.
(Name
of Issuer)
Common
Stock
(Title
of Class of Securities)
15117B202
(CUSIP
Number)
December
31, 2020
(Date
of Event Which Requires Filing of this Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
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[ ]
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Rule
13d-1(b)
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[X]
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Rule
13d-1(c)
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[ ]
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Rule
13d-1(d)
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*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 the disclosures provided
in a prior cover page.
The
information required in 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).
1.
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NAME
OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
RTW
Investments, LP
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2.
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CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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3.
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SEC
USE ONLY
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4.
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CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware
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NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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SOLE
VOTING POWER
0
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6.
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SHARED
VOTING POWER
3,422,855*
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7.
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SOLE
DISPOSITIVE POWER
0
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8.
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SHARED
DISPOSITIVE POWER
3,422,855*
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9.
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AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,422,855*
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10.
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CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
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11.
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PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.66%*
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12.
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TYPE
OF REPORTING PERSON (SEE INSTRUCTIONS)
PN,
OO, IA
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1.
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NAME
OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
RTW
Master Fund, Ltd.
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2.
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CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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3.
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SEC
USE ONLY
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4.
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CITIZENSHIP
OR PLACE OF ORGANIZATION
Cayman
Islands
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NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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SOLE
VOTING POWER
0
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6.
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SHARED
VOTING POWER
2,391,949*
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7.
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SOLE
DISPOSITIVE POWER
0
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8.
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SHARED
DISPOSITIVE POWER
2,391,949*
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9.
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AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,391,949*
|
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10.
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CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
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11.
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PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.05%*
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12.
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TYPE
OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
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1.
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NAME
OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Roderick
Wong
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2.
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CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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3.
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SEC
USE ONLY
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4.
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CITIZENSHIP
OR PLACE OF ORGANIZATION
United
States of America
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NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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SOLE
VOTING POWER
0
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6.
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SHARED
VOTING POWER
3,422,855*
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7.
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SOLE
DISPOSITIVE POWER
0
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8.
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SHARED
DISPOSITIVE POWER
3,422,855*
|
|
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9.
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AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,422,855*
|
|
|
10.
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CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
|
|
|
11.
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PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.66%*
|
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12.
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TYPE
OF REPORTING PERSON (SEE INSTRUCTIONS)
IN,
HC
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Item
1.
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(a).
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Name
of Issuer:
Celldex
Therapeutics, Inc.
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(b).
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Address
of issuer’s principal executive offices:
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53
Frontage Road, Suite 220
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Hampton,
NJ 08827
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Item
2.
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(a).
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Name
of person filing:
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RTW
Investments, LP
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RTW Master Fund,
Ltd.
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Roderick
Wong
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(b).
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Address
or principal business office or, if none, residence:
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RTW
Investments, LP
40
10th Avenue
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Floor 7
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New
York, New York 10014
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RTW
Master Fund, Ltd.
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c/o Intertrust
Corporate Services (Cayman) Limited
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190 Elgin Avenue,
George Town
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Grand Cayman
KY1-9001, Cayman Islands
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Roderick
Wong
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c/o
RTW Investments, LP
40
10th Avenue
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Floor 7
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New
York, New York 10014
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(c).
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Citizenship:
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RTW
Investments, LP – Delaware
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RTW
Master Fund, Ltd. – Cayman Islands
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Roderick
Wong – United States of America
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(d).
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Title
of class of securities:
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Common
Stock
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(e).
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CUSIP
No.:
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15117B202
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Item
3.
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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
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N/A
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Item
4.
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Ownership.
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Provide
the following
information
regarding the aggregate number and percentage of the class of securities of the issuer
identified in Item 1.
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(a)
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Amount
beneficially owned:
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RTW
Investments, LP – 3,422,855*
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RTW
Master Fund, Ltd. –
2,391,949*
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Roderick
Wong – 3,422,855*
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(b)
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Percent
of class:
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RTW
Investments, LP – 8.66%*
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RTW
Master Fund, Ltd. – 6.05%*
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Roderick
Wong – 8.66%*
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(c)
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Number
of shares as to which the person has:
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(i)
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Sole
power to vote or to direct the vote
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RTW
Investments, LP – 0
RTW
Master Fund, Ltd. – 0
Roderick
Wong – 0
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(ii)
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Shared power
to vote or to direct the vote
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RTW
Investments, LP – 3,422,855*
RTW
Master Fund, Ltd. – 2,391,949*
Roderick
Wong – 3,422,855*
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(iii)
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Sole power
to dispose or to direct the disposition of
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RTW
Investments, LP – 0
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RTW
Master Fund, Ltd. – 0
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Roderick
Wong – 0
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(iv)
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Shared power
to dispose or to direct the disposition of
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RTW Investments,
LP – 3,422,855*
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RTW
Master Fund, Ltd. –
2,391,949*
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Roderick Wong
– 3,422,855*
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*
The Common Stock (the “Shares”), of Celldex Therapeutics, Inc. (the “Company”) reported herein are held
by RTW Master Fund, Ltd. and one or more private funds (together the “Funds”) managed by RTW Investments, LP (the
“Adviser”). The Adviser, in its capacity as the investment manager of the Funds, has the power to vote and the power
to direct the disposition of all Shares held by the Funds. Accordingly, for the purposes of Reg. Section 240.13d-3, the Adviser
may be deemed to beneficially own an aggregate of 3,422,855 Shares, or 8.66% of the Company’s 39,567,065 Shares deemed issued
and outstanding as of October 31, 2020 according to the Company’s 10Q filed on November 5, 2020. Roderick Wong is the Managing
Partner of the Adviser. This report shall not be deemed an admission that the Adviser, the Funds or any other person is the beneficial
owner of the securities reported herein for purposes of Section 13 of the Securities Exchange Act of 1934, as amended, or for
any other purpose. Each of the reporting persons herein disclaims beneficial ownership of the Shares reported herein except to
the extent of the reporting person’s pecuniary interest therein.
Item
5.
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Ownership
of Five Percent or Less of a Class.
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If
this statement is being filed to report the fact that as of the date hereof the reporting
person has ceased to be the beneficial owner of more than five percent of the class of
securities, check the following [ ].
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N/A
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Item
6.
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Ownership
of More Than Five Percent on Behalf of Another Person.
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If
any other person is known to have the right to receive or the power to direct the receipt
of dividends from, or the proceeds from the sale of, such securities, a statement to
that effect should be included in response to this item and, if such interest relates
to more than 5 percent of the class, such person should be identified. A listing of the
shareholders of an investment company registered under the Investment Company Act of
1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is
not required.
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N/A
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Item
7.
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Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on by
the Parent Holding Company or Control Person.
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If
a parent holding company or control person has filed this schedule, pursuant to Rule
13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity
and the Item 3 classification of the relevant subsidiary. If a parent holding company
or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d),
attach an exhibit stating the identification of the relevant subsidiary.
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N/A
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Item
8.
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Identification
and Classification of Members of the Group.
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If
a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate
under Item 3(j) and attach an exhibit stating the identity and Item 3 classification
of each member of the group. If a group has filed this schedule pursuant to Rule 13d-1(c)
or Rule 13d-1(d), attach an exhibit stating the identity of each member of the group.
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N/A
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Item
9.
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Notice
of Dissolution of Group.
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Notice
of dissolution of a group may be furnished as an exhibit stating the date of the dissolution
and that all further filings with respect to transactions in the security reported on
will be filed, if required, by members of the group, in their individual capacity. See
Item 5.
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N/A
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Item
10.
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Certification.
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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.
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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:
February 12, 2021
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RTW
Investments, LP
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By:
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/s/
Roderick Wong
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Roderick
Wong, Managing Partner
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RTW
Master Fund, Ltd.
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By:
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/s/
Roderick Wong
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Roderick
Wong, Director
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Roderick
Wong
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By:
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/s/
Roderick Wong
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Roderick
Wong, Individually
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The
original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If
the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner
of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the
statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated
by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
Note.
Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See s.240.13d-7
for other parties for whom copies are to be sent.
Attention.
Intentional misstatements or omissions of fact constitute Federal criminal violations (see 18 U.S.C. 1001).
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