Statement of Changes in Beneficial Ownership (4)
October 20 2015 - 3:00PM
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
*
Apple Tree Partners IV, L.P.
|
2. Issuer Name
and
Ticker or Trading Symbol
Cerecor Inc.
[
CERC
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
230 PARK AVENUE, SUITE 2800
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/20/2015
|
(Street)
NEW YORK, NY 10169
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ 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
|
|
C
|
|
595436
|
A
|
(1)
|
595436
|
D
(2)
|
|
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
|
Series B Convertible Preferred Stock
|
(1)
|
10/20/2015
|
|
C
|
|
|
16672224
|
(1)
|
(1)
|
Common Stock
|
595436
|
$0
|
0
|
D
(2)
|
|
Explanation of Responses:
|
(
1)
|
The shares of Series B Convertible Preferred Stock (the "Series B Shares") automatically converted into Common Stock on a 1-for-0.03571 basis and had no expiration date.
|
(
2)
|
These shares are held by Apple Tree Partners IV, L.P. ("ATP IV"). ATP III GP, Ltd. (the "GP") is the sole general partner of ATP IV. Dr. Seth L. Harrison is the sole director of the GP. Dr. Seth L. Harrison disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Apple Tree Partners IV, L.P.
230 PARK AVENUE, SUITE 2800
NEW YORK, NY 10169
|
X
|
X
|
|
|
ATP III GP, Ltd.
230 PARK AVENUE, SUITE 2800
NEW YORK, NY 10169
|
X
|
X
|
|
|
Harrison Seth Loring
230 PARK AVENUE, SUITE 2800
NEW YORK, NY 10169
|
X
|
X
|
|
|
Signatures
|
By Seth L. Harrison, Director of ATP III GP, Ltd, general partner of Apple Tree Partners IV, L.P. /s/ Seth L. Harrison
|
|
10/20/2015
|
**
Signature of Reporting Person
|
Date
|
By Seth L. Harrison, Director of ATP III GP, Ltd. /s/ Seth L. Harrison
|
|
10/20/2015
|
**
Signature of Reporting Person
|
Date
|
/s/ Seth L. Harrison
|
|
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