Statement of Changes in Beneficial Ownership (4)
April 02 2020 - 4:50PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
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Gutry Phil |
2. Issuer Name and Ticker or Trading Symbol
Cerecor Inc.
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CERC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CERECOR INC., 540 GAITHER ROAD, SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2020 |
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(Street)
ROCKVILLE, MD 20850
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | $2.48 | 3/31/2020 | | A | | 4310 | | (1) | 3/31/2030 | Common Stock | 4310 | $0 | 4310 | D | |
| Stock Option (Right to Buy) | $5.39 | | | | | | | (1) | 12/31/2029 | Common Stock | 2375 | | 2375 | D | |
| Stock Option (Right to Buy) | $3.29 | | | | | | | (1) | 9/30/2029 | Common Stock | 3907 | | 3907 | D | |
| Stock Option (Right to Buy) | $2.93 | | | | | | | (2) | 8/7/2029 | Common Stock | 25000 | | 25000 | D | |
| Stock Option (Right to Buy) | $5.44 | | | | | | | (1) | 6/28/2029 | Common Stock | 2323 | | 2323 | D | |
| Stock Option (Right to Buy) | $5.84 | | | | | | | (1) | 3/29/2029 | Common Stock | 1916 | | 1916 | D | |
| Stock Option (Right to Buy) | $3.23 | | | | | | | (1) | 12/31/2028 | Common Stock | 3439 | | 3439 | D | |
| Stock Option (Right to Buy) | $4.67 | | | | | | | (1) | 9/28/2028 | Common Stock | 2351 | | 2351 | D | |
| Stock Option (Right to Buy) | $4.34 | | | | | | | (1) | 6/29/2028 | Common Stock | 2544 | | 2544 | D | |
| Stock Option (Right to Buy) | $3.71 | | | | | | | (1) | 5/14/2028 | Common Stock | 8357 | | 8357 | D | |
| Stock Option (Right to Buy) | $4.29 | | | | | | | (1) | 3/30/2028 | Common Stock | 2350 | | 2350 | D | |
| Stock Option (Right to Buy) | $3.2 | | | | | | | (1) | 12/30/2027 | Common Stock | 3179 | | 3179 | D | |
| Stock Option (Right to Buy) | $0.85 | | | | | | | (1) | 9/29/2027 | Common Stock | 10600 | | 10600 | D | |
| Stock Option (Right to Buy) | $0.57 | | | | | | | (1) | 6/29/2027 | Common Stock | 8357 | | 8357 | D | |
| Stock Option (Right to Buy) | $0.57 | | | | | | | (1) | 6/29/2027 | Common Stock | 14224 | | 14224 | D | |
| Stock Option (Right to Buy) | $0.68 | | | | | | | (1) | 3/30/2027 | Common Stock | 10131 | | 10131 | D | |
| Stock Option (Right to Buy) | $0.88 | | | | | | | (1) | 12/30/2026 | Common Stock | 3793 | | 3793 | D | |
| Stock Option (Right to Buy) | $4.23 | | | | | | | (1) | 9/29/2026 | Common Stock | 886 | | 886 | D | |
| Stock Option (Right to Buy) | $2.2 | | | | | | | (1) | 6/29/2026 | Common Stock | 1638 | | 1638 | D | |
| Stock Option (Right to Buy) | $3.52 | | | | | | | (1) | 5/17/2026 | Common Stock | 8357 | | 8357 | D | |
| Stock Option (Right to Buy) | $5.8 | | | | | | | (1) | 11/8/2025 | Common Stock | 16714 | | 16714 | D | |
| Explanation of Responses: |
| (1) | The stock option is fully vested. |
| (2) | The stock option will vest in full on August 7, 2020, subject to the Reporting Person's continued service on such vesting date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Gutry Phil
C/O CERECOR INC.
540 GAITHER ROAD, SUITE 400
ROCKVILLE, MD 20850 | X |
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Signatures
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| /s/ Donald R. Reynolds, by Power of Attorney | | 4/2/2020 |
| **Signature of Reporting Person | Date |
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