Statement of Changes in Beneficial Ownership (4)
29 December 2021 - 8:31AM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
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Renger John |
2. Issuer Name and Ticker or Trading Symbol
Cerevel Therapeutics Holdings, Inc.
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CERE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Scientific Officer |
(Last)
(First)
(Middle)
C/O CEREVEL THERAPEUTICS HOLDINGS, INC., 222 JACOBS STREET, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/23/2021 |
(Street)
CAMBRIDGE, MA 02421
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/23/2021 | | M(1) | | 5873 | A | $3.50 | 7853 (2) | D | |
Common Stock | 12/23/2021 | | S(1) | | 5873 | D | $35.0046 (3) | 1980 | D | |
Common Stock | 12/27/2021 | | M(1) | | 4127 | A | $3.50 | 6107 | D | |
Common Stock | 12/27/2021 | | S(1) | | 4127 | D | $35.00 | 1980 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 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 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 |
Stock Option (Right to Buy) | $3.50 | 12/23/2021 | | M (1) | | | 5873 | (4) | 4/2/2029 | Common Stock | 5873 | $0.00 | 375002 | D | |
Stock Option (Right to Buy) | $3.50 | 12/27/2021 | | M (1) | | | 4127 | (4) | 4/2/2029 | Common Stock | 4127 | $0.00 | 370875 | D | |
Explanation of Responses: |
(1) | The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan dated October 8, 2021 adopted by the Reporting Person. |
(2) | Includes 1,980 shares acquired under the Issuer's Employee Stock Purchase Plan on May 28, 2021. |
(3) | The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.01 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(4) | 25% of the shares subject to this option vested and became exercisable on April 8, 2020, with the remainder vesting in thirty-six (36) equal monthly installments thereafter. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Renger John C/O CEREVEL THERAPEUTICS HOLDINGS, INC. 222 JACOBS STREET, SUITE 200 CAMBRIDGE, MA 02421 |
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| Chief Scientific Officer |
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Signatures
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/s/ Mark Bodenrader, as Attorney-in-Fact | | 12/28/2021 |
**Signature of Reporting Person | Date |
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