Statement of Changes in Beneficial Ownership (4)
09 May 2023 - 6:25AM
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)
5/4/2023 |
(Street)
CAMBRIDGE, MA 02141 |
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
|
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☒
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
|
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 | 5/4/2023 | | M(1) | | 50000 | A | $3.50 | 52704 | D | |
Common Stock | 5/4/2023 | | S(1) | | 37568 | D | $31.3636 (2) | 15136 | D | |
Common Stock | 5/4/2023 | | S(1) | | 12132 | D | $31.7579 (3) | 3004 | D | |
Common Stock | 5/4/2023 | | S(1) | | 300 | D | $32.93 | 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 | 5/4/2023 | | M (1) | | | 50000 | (4) | 12/24/2028 | Common Stock | 50000 | $0.00 | 2802417 | 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 $30.63 - $31.62. 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) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.63 - $32.04. 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. |
(4) | 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 | | 5/8/2023 |
**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. |
ARYA Sciences Acquisitio... (NASDAQ:ARYB)
Historical Stock Chart
From Dec 2024 to Jan 2025
ARYA Sciences Acquisitio... (NASDAQ:ARYB)
Historical Stock Chart
From Jan 2024 to Jan 2025
Real-Time news about ARYA Sciences Acquisition Corporation II (NASDAQ): 0 recent articles
More Cerevel Therapeutics Holdings, Inc. News Articles