SEC Form 4 · accession 0001209191-16-138517
CERUS CORP · CERS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Dennis Green
Officer — Chief Financial Officer
Period of report
Aug 22, 2016
Accepted (ET)
Aug 24, 2016 · 5:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001020214
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 22, 2016 | M | 11,000 | $4.19 | A | 53,167 | D | |
| Common StockF2 | Aug 22, 2016 | S | 11,000 | $6.7931 | D | 42,167 | D | |
| Common Stock | Aug 22, 2016 | M | 6,150 | $5.55 | A | 48,317 | D | |
| Common StockF3 | Aug 22, 2016 | S | 6,150 | $6.8111 | D | 42,167 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy)F5,F4 | $4.19 | Aug 22, 2016 | M | 11,000 | D | — | Sep 30, 2017 | Common Stock | 11,000 | 0 | D |
| Option (Right to Buy)F5,F6 | $5.55 | Aug 22, 2016 | M | 6,150 | D | — | Oct 1, 2016 | Common Stock | 6,150 | 0 | D |
Explanation of responses
- F1This amount includes the following shares purchased under Cerus' 1996 Employee Stock Purchase Plan: 1,942 on 2/29/16, 3,590 on 8/31/15, 2,430 on 2/27/2015, 2,451 on 8/29/2014, 2,143 on 2/28/2014, 3,733 on 8/30/2013, 3,404 on 8/31/2012, 5,274 on 2/28/2010.
- F2The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.79 to $6.81 per share, inclusive. 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 aforementioned range set forth.
- F3The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.81 to $6.82 per share, inclusive. 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 aforementioned range set forth.
- F4One eighth (1/8th) of the shares subject to this Option vested six (6) months after October 1, 2008, and one forty-eighth (1/48th) of the shares subject to this Option vested on the first day of each month thereafter.
- F5Not applicable.
- F6The shares subject to the Option vested in forty-eight (48) equal monthly installments over 4 years after October 2, 2006.