Statement of Changes in Beneficial Ownership (4)
November 19 2020 - 05:08PM
Edgar (US Regulatory)
FORM 4
[ ]
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
Estimated average burden
hours per response... 0.5 |
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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 * Swisher Daniel N
JR |
2. Issuer Name and Ticker or Trading
Symbol CERUS CORP [ CERS ] |
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 CERUS CORPORATION, 1220 CONCORD AVE |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/17/2020
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(Street)
CONCORD, CA 94520
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
11/17/2020 |
|
M |
|
10000 (1) |
A |
$2.90 |
69868 |
D |
|
Common Stock |
11/17/2020 |
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S |
|
10000 |
D |
$6.2505 (2) |
59868 |
D |
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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 |
Option (Right to Buy) |
$2.90 |
11/17/2020 |
|
M |
|
|
10000 |
(3) |
6/26/2021 |
Common Stock |
10000 |
(4) |
15000 |
D |
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Explanation of
Responses: |
(1) |
This transaction was
executed pursuant to a 10b5-1 plan. |
(2) |
The reported price in column
4 is a weighted average price. These shares were sold in multiple
transactions at prices ranging from $6.25 to $6.26 per share,
inclusive. The reporting person undertakes to provide to the
Issuer, any security holder of the Issuer, or the staff of the
Securities and Exchange Commission, upon request, full information
regarding the number of shares sold at each separate price within
the aforementioned range set forth. |
(3) |
The option became
exercisable in 12 equal monthly installments after the grant
date. |
(4) |
Not applicable. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Swisher Daniel N JR
C/O CERUS CORPORATION
1220 CONCORD AVE
CONCORD, CA 94520 |
X |
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Signatures
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Daniel N. Swisher Jr. by Chrystal Menard,
attorney-in-fact |
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11/19/2020 |
**Signature of Reporting
Person |
Date |