0001578563-19-000025.txt : 20190829 0001578563-19-000025.hdr.sgml : 20190829 20190829170353 ACCESSION NUMBER: 0001578563-19-000025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190827 FILED AS OF DATE: 20190829 DATE AS OF CHANGE: 20190829 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pedder Simon CENTRAL INDEX KEY: 0001316736 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37590 FILM NUMBER: 191067097 MAIL ADDRESS: STREET 1: 1001 MAIN STREET STREET 2: SUITE 600 CITY: BUFFALO STATE: NY ZIP: 14203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cerecor Inc. CENTRAL INDEX KEY: 0001534120 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 450705648 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 540 GAITHER ROAD STREET 2: SUITE 400 CITY: ROCKVILLE STATE: MD ZIP: 20850 BUSINESS PHONE: 410-522-8707 MAIL ADDRESS: STREET 1: 540 GAITHER ROAD STREET 2: SUITE 400 CITY: ROCKVILLE STATE: MD ZIP: 20850 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-08-27 0 0001534120 Cerecor Inc. CERC 0001316736 Pedder Simon C/O CERECOR INC. 540 GAITHER ROAD, SUITE 400 ROCKVILLE MD 20850 1 1 0 0 Executive Chairman of the Bd Common Stock 2019-08-27 4 P 0 6734 2.9849 A 262734 D Stock Option (Right to Buy) 5.44 2019-06-28 2029-06-28 Common Stock 117 117 D Stock Option (Right to Buy) 4.98 2029-05-24 Common Stock 300000 300000 D Stock Option (Right to Buy) 5.17 2029-04-15 Common Stock 300000 300000 D Stock Option (Right to Buy) 5.84 2029-03-29 Common Stock 882 882 D Stock Option (Right to Buy) 3.23 2028-12-31 Common Stock 1504 1504 D Stock Option (Right to Buy) 4.67 2028-09-28 Common Stock 990 990 D Stock Option (Right to Buy) 4.34 2028-06-29 Common Stock 1012 1012 D Stock Option (Right to Buy) 3.71 2028-05-14 Common Stock 8357 8357 D Stock Option (Right to Buy) 4.14 2028-04-06 Common Stock 16714 16714 D This transaction was executed in multiple trades ranging from $2.97 to $2.9941. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected. Granted for service on the Board of Directors as a non-employee Board member prior to appointment to Executive Chairman of the Board. The stock option was granted on May 24, 2019. One-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $8.00 per share for three consecutive trading days. The next one-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $10.50 per share for three consecutive trading days. The final one-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $13.00 per share for three consecutive trading days. The stock option was granted on April 15, 2019. One-third of the shares subject to the stock option will vest on the first anniversary of the date of grant, and the remaining two-thirds of the shares subject to the stock option will vest in equal monthly installments over the following 24 months, provided the Reporting Person is then still providing continuous service as an employee, director or consultant. The stock option is fully vested. The stock option will vest in three substantially equal installments on April 6, 2019, 2020 and 2021, provided the Reporting Person is then still providing continuous service as an employee, director or consultant. /s/ Donald R. Reynolds, by Power of Attorney 2019-08-29