SEC Form 4 · accession 0001209191-17-039325
CERUS CORP · CERS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel N Swisher Jr.
Director
Period of report
Jun 6, 2017
Accepted (ET)
Jun 12, 2017 · 9:34 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 | Jun 6, 2017 | M | 12,336 | — | A | 12,336 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F1,F2 | — | Jun 6, 2017 | M | 12,366 | D | — | — | Common Stock | 12,366 | 0 | D |
| Option Right to BuyF3,F4 | $2.61 | Jun 7, 2017 | A | 47,507 | A | — | Jun 6, 2027 | Common Stock | 47,507 | 47,507 | D |
| Restricted Stock UnitF3,F1,F5 | — | Jun 7, 2017 | A | 19,816 | A | — | — | Common Stock | 19,816 | 19,816 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one (1) share of Cerus Common Stock.
- F2This restricted stock unit vested on the day prior to the 2017 Annual Meeting of Stockholders.
- F3Not applicable.
- F4The option shall vest in twelve (12) equal monthly installments on each monthly anniversary of the transaction date with the final vesting date being the earlier of (a) one year from the date of grant, or (b) the day prior to the 2018 Annual Meeting of Stockholders.
- F5The restricted stock unit shall vest on the earlier of (a) one year from the date of grant, or (b) the day prior to the 2018 Annual Meeting of Stockholders.