FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Cerevel Therapeutics Holdings, Inc. [ CERE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/27/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 10/27/2020 | J(1) | 49,961,943 | A | (1) | 50,300,063 | I | See Footnotes(3) | ||
Common Stock | 10/27/2020 | P(2) | 10,000,000 | A | $10 | 60,300,063 | I | See Footnotes(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 |
Explanation of Responses: |
1. On October 27, 2020, Cerevel Therapeutics Holdings, Inc. (f/k/a ARYA Sciences Acquisition Corp II, the "Issuer") consummated a business combination (the "Business Combination") pursuant to which Cassidy Merger Sub 1, Inc., a wholly-owned subsidiary of the Issuer merged with and into Cerevel Therapeutics, Inc. ("Cerevel"). At the effective time of the Business Combination, each share of Cerevel outstanding as of immediately prior to the effective time was exchanged for shares of Common Stock of the Issuer based on an implied Cerevel vested equity value of $780,000,000. As a result, BC Perception Holdings, LP ("BC Perception") received 49,961,943 shares of the Issuer's Common Stock in consideration for the equity securities of Cerevel held by BC Perception prior to the Business Combination. |
2. On October 27, 2020, BC Perception purchased 10,000,000 shares of the Issuer's Common Stock from the Issuer at a price of $10.00 per share. |
3. Christopher Gordon is a Managing Director of Bain Capital Investors, LLC ("BCI"), the ultimate general partner of BC Perception. Voting and investment decisions with respect to securities held by BC Perception are made by the managing directors of BCI. As a result, Mr. Gordon may be deemed to share voting and dispositive power with respect to the securities held by BC Perception. Mr. Gordon disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. |
Remarks: |
/s/ Christopher R Gordon | 10/29/2020 | |
** 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 Number. |