|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) | $ 6.22 | 05/24/2019 | D | 325,000 | (2) | 04/01/2029 | Common Stock | 325,000 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 4.24 | 05/24/2019 | D | 364,583 | (3) | 03/27/2028 | Common Stock | 364,583 | $ 0 | 135,417 | D | ||||
Employee Stock Option (Right to Buy) | $ 4.24 | 05/24/2019 | D | 500,000 | (2) | 03/27/2028 | Common Stock | 500,000 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 0.80 | (4) | 05/12/2027 | Common Stock | 16,714 | 16,714 | D | ||||||||
Stock Option (Right to Buy) | $ 0.57 | (5) | 06/30/2027 | Common Stock | 8,357 | 8,357 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Greenleaf Peter C/O CERECOR INC. 540 GAITHER ROAD, SUITE 400 ROCKVILLE, MD 20850 |
X |
/s/ Donald R. Reynolds, by Power of Attorney | 05/29/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Pursuant to an agreement between the Reporting Person and the Issuer, the Reporting Person agreed to forfeit the restricted stock units for good and valuable consideration. |
(2) | Pursuant to an agreement between the Reporting Person and the Issuer, the Reporting Person agreed to forfeit the stock option for good and valuable consideration. |
(3) | Represents the forfeiture of 364,583 shares underlying the stock option. Pursuant to an agreement between the Reporting Person and the Issuer, the Reporting Person agreed to forfeit the stock option for good and valuable consideration. The 135,417 shares underlying the stock option that have vested will not be forfeited. |
(4) | The stock option will vest in three substantially equal annual installments on May 11, 2018, 2019 and 2020, subject to the Reporting Person's continued service on each such vesting date. |
(5) | The stock options vested in full on June 30, 2018. |