0001578563-18-000012.txt : 20180521 0001578563-18-000012.hdr.sgml : 20180521 20180521191044 ACCESSION NUMBER: 0001578563-18-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180518 FILED AS OF DATE: 20180521 DATE AS OF CHANGE: 20180521 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Greenleaf Peter CENTRAL INDEX KEY: 0001363683 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37590 FILM NUMBER: 18851054 MAIL ADDRESS: STREET 1: ONE MEDIMMUNE WAY CITY: GAITHERSBURG STATE: MD ZIP: 20878 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: 400 E. PRATT ST. STREET 2: SUITE 606 CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 410-522-8707 MAIL ADDRESS: STREET 1: 400 E. PRATT ST. STREET 2: SUITE 606 CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-05-18 0 0001534120 Cerecor Inc. CERC 0001363683 Greenleaf Peter C/O CERECOR INC. 400 EAST PRATT STREET, SUITE 606 BALTIMORE MD 21202 1 1 0 0 Chief Executive Officer Common Stock 2018-05-18 4 P 0 12500 3.98 A 412500 D Stock Option (Right to Buy) 0.8 2027-05-11 Common Stock 16714 16714 D Employee Stock Option (Right to Buy) 0.57 2018-06-30 2027-06-29 Common Stock 8357 8357 D Employee Stock Option (Right to Buy) 4.24 2028-03-27 Common Stock 500000 500000 D Employee Stock Option (Right to Buy) 4.24 2028-03-27 Common Stock 500000 500000 D This transaction was executed in multiple trades ranging from $3.95 to $4.00. 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. 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. The stock options will vest in full on June 30, 2018, subject to the grantees continued service on such vesting date. The stock option will vest 25% on the first anniversary of the date of grant and the remaining 75% of the shares subject to the stock option shall vest in equal monthly installments on each monthly anniversary date of the first vesting date over the following 48 months beginning on April 27, 2019, provided the Reporting Person is then an officer of the Issuer on each such vesting date. The stock option will vest in full upon the Issuer's common stock closing at or above $12.50 per share for three consecutive trading days, provided the Reporting Person is then an officer of the Issuer on each such vesting date. /s/ Robert Swedberg, by Power of Attorney 2018-05-21