Statement of Changes in Beneficial Ownership (4)
April 02 2020 - 05:24PM
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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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
*
Hacksell Uli |
2. Issuer Name and Ticker or Trading Symbol
Cerecor Inc.
[
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 |
(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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Common Stock | | | | | | | | 20000 | D | |
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 | | 2007 | | (1) | 3/31/2030 | Common Stock | 2007 | $0 | 2007 | D | |
Stock Option (Right to Buy) | $5.39 | | | | | | | (1) | 12/31/2029 | Common Stock | 1106 | | 1106 | D | |
Stock Option (Right to Buy) | $3.29 | | | | | | | (1) | 9/30/2029 | Common Stock | 1819 | | 1819 | 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 | 1172 | | 1172 | D | |
Stock Option (Right to Buy) | $5.84 | | | | | | | (1) | 3/29/2029 | Common Stock | 1724 | | 1724 | D | |
Stock Option (Right to Buy) | $3.23 | | | | | | | (1) | 12/31/2028 | Common Stock | 3095 | | 3095 | D | |
Stock Option (Right to Buy) | $3.71 | | | | | | | (1) | 5/15/2028 | Common Stock | 8357 | | 8357 | D | |
Stock Option (Right to Buy) | $0.87 | | | | | | | (1) | 1/25/2027 | Common Stock | 100000 | | 100000 | D | |
Stock Option (Right to Buy) | $3.77 | | | | | | | (3) | 8/16/2026 | Common Stock | 130000 | | 130000 | D | |
Stock Option (Right to Buy) | $3.35 | | | | | | | (1) | 12/31/2025 | Common Stock | 360459 | | 360459 | D | |
Stock Option (Right to Buy) | $5.8 | | | | | | | (1) | 11/8/2025 | Common Stock | 16714 | | 16714 | D | |
Stock Option (Right to Buy) | $6.13 | | | | | | | (1) | 6/1/2025 | Common Stock | 11607 | | 11607 | 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. |
(3) | 32,500 of the shares underlying the option shall vest and become exercisable on August 17, 2017; the remaining shares shall vest and become exercisable in 36 equal monthly installments thereafter beginning on September 17, 2017, subject to the Reporting Person's continued service with the Issuer on each such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hacksell Uli 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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