Statement of Changes in Beneficial Ownership (4)
October 20 2015 - 2:58PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
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
*
Marcus Ronald
|
2. Issuer Name
and
Ticker or Trading Symbol
Cerecor Inc.
[
CERC
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Medical Officer
|
(Last)
(First)
(Middle)
400 E. PRATT STREET, SUITE 606
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/20/2015
|
(Street)
BALTIMORE, MD 21202
(City)
(State)
(Zip)
|
4. 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 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
|
10/20/2015
|
|
J
|
|
5383
|
A
|
(1)
|
5383
|
D
|
|
Common Stock
|
10/20/2015
|
|
P
|
|
16924
|
A
|
(2)
|
22307
|
D
|
|
Common Stock
|
10/20/2015
|
|
P
|
|
13693
|
A
|
(3)
|
36000
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
Employee Stock Option (Right to Buy)
|
$6.49
|
10/20/2015
|
|
A
|
|
15000
|
|
(4)
|
10/19/2024
|
Common Stock
|
15000
|
$0
|
15000
|
D
|
|
Class A Warrant (Right to Buy)
|
$4.55
|
10/20/2015
|
|
J
|
|
5383
|
|
(1)
|
10/20/2018
|
Common Stock
|
5383
|
(1)
|
5383
|
D
|
|
Class B Warrant (Right to Buy)
|
$3.90
|
10/20/2015
|
|
J
|
|
5383
|
|
(1)
|
4/20/2017
|
Common Stock
|
2691.5
|
(1)
|
5383
|
D
|
|
Class A Warrant (Right to Buy)
|
$4.55
|
10/20/2015
|
|
P
|
|
16924
|
|
(2)
|
10/20/2018
|
Common Stock
|
16924
|
(2)
|
22307
|
D
|
|
Class B Warrant (Right to Buy)
|
$3.90
|
10/20/2015
|
|
P
|
|
16924
|
|
(2)
|
4/20/2017
|
Common Stock
|
8462
|
(2)
|
22307
|
D
|
|
Class A Warrant (Right to Buy)
|
$4.55
|
10/20/2015
|
|
P
|
|
13693
|
|
(3)
|
10/20/2018
|
Common Stock
|
13693
|
(3)
|
36000
|
D
|
|
Class B Warrant (Right to Buy)
|
$3.90
|
10/20/2015
|
|
P
|
|
13693
|
|
(3)
|
4/20/2017
|
Common Stock
|
6846.5
|
(3)
|
36000
|
D
|
|
Explanation of Responses:
|
(
1)
|
The reported securities are included within 5,383 units issued upon the closing of the Issuer's initial public offering at the initial public offering price of $6.50 per unit. Each unit consists of one share of Common Stock, one Class A Warrant to purchase one share of Common Stock and one Class B Warrant to purchase one-half share of Common Stock. The components of the units will begin to trade separately on the first trading day following the 60th day after the closing of the issuer's initial public offering, unless the Issuer's underwriters determine that an earlier date is acceptable.
|
(
2)
|
The reported securities are included within 16,924 units purchased by the reporting person for $6.40 per unit. Each unit consists of one share of Common Stock, one Class A Warrant to purchase one share of Common Stock and one Class B Warrant to purchase one-half share of Common Stock. The components of the units will begin to trade separately on the first trading day following the 60th day after the closing of the issuer's initial public offering, unless the Issuer's underwriters determine that an earlier date is acceptable.
|
(
3)
|
The reported securities are included within 13,693 units purchased by the reporting person for $6.3943 per unit. Each unit consists of one share of Common Stock, one Class A Warrant to purchase one share of Common Stock and one Class B Warrant to purchase one-half share of Common Stock. The components of the units will begin to trade separately on the first trading day following the 60th day after the closing of the issuer's initial public offering, unless the Issuer's underwriters determine that an earlier date is acceptable
|
(
4)
|
The Stock Option vests in four equal installments on October 20, 2016, 2017, 2018 and 2019.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Marcus Ronald
400 E. PRATT STREET, SUITE 606
BALTIMORE, MD 21202
|
|
|
Chief Medical Officer
|
|
Signatures
|
/s/ Mariam E. Morris by Power of Attorney previously filed
|
|
10/20/2015
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Cerecor (NASDAQ:CERC)
Historical Stock Chart
From Jun 2024 to Jul 2024
Cerecor (NASDAQ:CERC)
Historical Stock Chart
From Jul 2023 to Jul 2024