SEC Form 4 · accession 0001209191-18-031426
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
May 16, 2018
Accepted (ET)
May 18, 2018 · 4:34 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 Stock | May 16, 2018 | M | 23,000 | $0.79 | A | 83,825 | D | |
| Common Stock | May 16, 2018 | M | 20,300 | $1.05 | A | 104,125 | D | |
| Common StockF1 | May 16, 2018 | S | 43,300 | $6.3911 | D | 60,825 | D | |
| Common Stock | May 17, 2018 | M | 29,700 | $1.05 | A | 90,525 | D | |
| Common StockF2 | May 17, 2018 | S | 29,700 | $6.4676 | D | 60,825 | 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)F4,F3 | $0.79 | May 16, 2018 | M | 23,000 | D | — | Jan 11, 2019 | Common Stock | 23,000 | 0 | D |
| Option (Right to Buy)F4,F3 | $1.05 | May 16, 2018 | M | 20,300 | D | — | Apr 30, 2019 | Common Stock | 20,300 | 29,700 | D |
| Option (Right to Buy)F4,F3 | $1.05 | May 17, 2018 | M | 29,700 | D | — | Apr 30, 2019 | Common Stock | 29,700 | 0 | D |
Explanation of responses
- F1The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.445 to $6.35 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.
- F2The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.54 to $6.40 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.
- F3One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.
- F4Not applicable.