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CERC Cerecor Inc

2.93
0.00 (0.00%)
Pre Market
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Cerecor Inc NASDAQ:CERC NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 2.93 2.87 2.95 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

02/04/2020 9:50pm

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 *

Gutry Phil
2. Issuer Name and Ticker or Trading Symbol

Cerecor Inc. [ CERC ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O CERECOR INC., 540 GAITHER ROAD, SUITE 400
3. Date of Earliest Transaction (MM/DD/YYYY)

3/31/2020
(Street)

ROCKVILLE, MD 20850
(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

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy) $2.48 3/31/2020  A   4310     (1)3/31/2030 Common Stock 4310 $0 4310 D  
Stock Option (Right to Buy) $5.39            (1)12/31/2029 Common Stock 2375  2375 D  
Stock Option (Right to Buy) $3.29            (1)9/30/2029 Common Stock 3907  3907 D  
Stock Option (Right to Buy) $2.93            (2)8/7/2029 Common Stock 25000  25000 D  
Stock Option (Right to Buy) $5.44            (1)6/28/2029 Common Stock 2323  2323 D  
Stock Option (Right to Buy) $5.84            (1)3/29/2029 Common Stock 1916  1916 D  
Stock Option (Right to Buy) $3.23            (1)12/31/2028 Common Stock 3439  3439 D  
Stock Option (Right to Buy) $4.67            (1)9/28/2028 Common Stock 2351  2351 D  
Stock Option (Right to Buy) $4.34            (1)6/29/2028 Common Stock 2544  2544 D  
Stock Option (Right to Buy) $3.71            (1)5/14/2028 Common Stock 8357  8357 D  
Stock Option (Right to Buy) $4.29            (1)3/30/2028 Common Stock 2350  2350 D  
Stock Option (Right to Buy) $3.2            (1)12/30/2027 Common Stock 3179  3179 D  
Stock Option (Right to Buy) $0.85            (1)9/29/2027 Common Stock 10600  10600 D  
Stock Option (Right to Buy) $0.57            (1)6/29/2027 Common Stock 8357  8357 D  
Stock Option (Right to Buy) $0.57            (1)6/29/2027 Common Stock 14224  14224 D  
Stock Option (Right to Buy) $0.68            (1)3/30/2027 Common Stock 10131  10131 D  
Stock Option (Right to Buy) $0.88            (1)12/30/2026 Common Stock 3793  3793 D  
Stock Option (Right to Buy) $4.23            (1)9/29/2026 Common Stock 886  886 D  
Stock Option (Right to Buy) $2.2            (1)6/29/2026 Common Stock 1638  1638 D  
Stock Option (Right to Buy) $3.52            (1)5/17/2026 Common Stock 8357  8357 D  
Stock Option (Right to Buy) $5.8            (1)11/8/2025 Common Stock 16714  16714 D  

Explanation of Responses:
(1) The stock option is fully vested.
(2) The stock option will vest in full on August 7, 2020, subject to the Reporting Person's continued service on such vesting date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Gutry Phil
C/O CERECOR INC.
540 GAITHER ROAD, SUITE 400
ROCKVILLE, MD 20850
X



Signatures
/s/ Donald R. Reynolds, by Power of Attorney4/2/2020
**Signature of Reporting PersonDate

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