Statement of Changes in Beneficial Ownership (4)
07 March 2023 - 08:16AM
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 * COLES N ANTHONY |
2. Issuer Name and Ticker or Trading
Symbol Cerevel Therapeutics Holdings, Inc. [ CERE
] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CEO and Chairperson |
(Last)
(First)
(Middle)
C/O CEREVEL THERAPEUTICS HOLDINGS, INC., 222 JACOBS STREET,
SUITE 200 |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/2/2023
|
(Street)
CAMBRIDGE, MA 02141
(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 |
Common Stock |
3/2/2023 |
|
M(1) |
|
47000 |
A |
$3.50 |
49704 |
D |
|
Common Stock |
3/2/2023 |
|
S(1) |
|
47000 |
D |
$27.1144 (2) |
2704 |
D |
|
Common Stock |
3/3/2023 |
|
M(1) |
|
3000 |
A |
$3.50 |
5704 |
D |
|
Common Stock |
3/3/2023 |
|
S(1) |
|
3000 |
D |
$27.19 |
2704 |
D |
|
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
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 |
3/2/2023 |
|
M (1) |
|
|
47000 |
(3) |
12/24/2028 |
Common Stock |
47000 |
$0.00 |
2905417 |
D |
|
Stock Option (Right to Buy) |
$3.50 |
3/3/2023 |
|
M (1) |
|
|
3000 |
(3) |
12/24/2028 |
Common Stock |
3000 |
$0.00 |
2902417 |
D |
|
Explanation of
Responses: |
(1) |
These transactions were
effected pursuant to a Rule 10b5-1 trading plan dated November 9,
2022 adopted by the Reporting Person. |
(2) |
The price reported in column
4 is a weighted average price. These shares were sold in multiple
transactions at prices ranging from $26.62 - $27.48. The Reporting
Person undertakes to provide to the Issuer, any security holder of
the Issuer or 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. |
(3) |
25% of the shares subject to
this option vested and became exercisable on November 27, 2019,
with remainder vesting in 36 equal monthly installments
thereafter. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
COLES N ANTHONY
C/O CEREVEL THERAPEUTICS HOLDINGS, INC.
222 JACOBS STREET, SUITE 200
CAMBRIDGE, MA 02141 |
X |
|
CEO and Chairperson |
|
Signatures
|
/s/ Mark Bodenrader, as
Attorney-in-Fact |
|
3/6/2023 |
**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 control number. |
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