Initial Statement of Beneficial Ownership (3)
February 05 2021 - 4:49PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Davis Jefferson E |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/1/2021
|
3. Issuer Name and Ticker or Trading Symbol
Acer Therapeutics Inc. [ACER]
|
(Last)
(First)
(Middle)
C/O ACER THERAPEUTICS INC., ONE GATEWAY CENTER, SUITE 351 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Business Officer / |
(Street)
NEWTON, MA 02458
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
|
1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $0.0001 par value | 71645 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | (1) | 1/15/2031 | Common Stock | 5000 | $3.85 | D | |
Explanation of Responses: |
(1) | The option vests and becomes exercisable over four years as follows: 25% of the shares vest on January 15, 2022, and the remaining 75% of the shares vest quarterly over the remaining three years. |
Remarks: Exhibit List: Exhibit 24 - Confirming Statement |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Davis Jefferson E C/O ACER THERAPEUTICS INC. ONE GATEWAY CENTER, SUITE 351 NEWTON, MA 02458 |
|
| Chief Business Officer |
|
Signatures
|
/s/ Harry S. Palmin, Attorney-in-fact | | 2/5/2021 |
**Signature of Reporting Person | Date |
Acer Therapeutics (NASDAQ:ACER)
Historical Stock Chart
From Mar 2024 to Apr 2024
Acer Therapeutics (NASDAQ:ACER)
Historical Stock Chart
From Apr 2023 to Apr 2024