SEC Form 4 · accession 0001209191-19-019309
CERUS CORP · CERS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Carol Moore
Officer — SVP Reg. & Quality
Period of report
Mar 10, 2019
Accepted (ET)
Mar 13, 2019 · 8:47 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,F2 | Mar 10, 2019 | M | 6,000 | — | A | 47,750 | D | |
| Common StockF3 | Mar 12, 2019 | S | 2,075 | $6.48 | D | 45,675 | D | |
| Common StockF1 | Mar 12, 2019 | M | 7,500 | — | A | 53,175 | D | |
| Common StockF3 | Mar 13, 2019 | S | 2,832 | $5.8989 | D | 50,343 | D | |
| Common StockF1 | Mar 12, 2019 | M | 15,834 | — | A | 66,177 | D | |
| Common StockF3 | Mar 13, 2019 | S | 5,979 | $5.90 | D | 60,198 | 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 UnitF5,F1,F4 | — | Mar 10, 2019 | M | 6,000 | D | — | — | Common Stock | 6,000 | 0 | D |
| Restricted Stock UnitF5,F1,F6 | — | Mar 12, 2019 | M | 7,500 | D | — | — | Common Stock | 7,500 | 7,500 | D |
| Restricted Stock UnitF5,F1,F7 | — | Mar 12, 2019 | M | 15,834 | D | — | — | Common Stock | 15,834 | 31,666 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one (1) share of Cerus Common Stock.
- F2Includes 5,044 and 1,865 shares purchased under Issuer's Employee Stock Purchase Plan on 08/31/18 and 02/28/19, respectively.
- F3Represents the number of shares required to be sold to cover the statutory tax withholding obligations and corresponding brokerage fee in connection with the vesting of the restricted stock units listed in Table II. This sale is mandated by the election to satisfy the minimum statutory tax withholding obligations through a "sell to cover" transaction and does not represent a discretionary sale by the reporting person.
- F4The restricted stock unit vests in three equal annual installments beginning on March 10, 2017.
- F5Not applicable.
- F6The restricted stock unit vests in three equal annual installments beginning on March 12, 2018.
- F7The restricted stock unit vests in three equal annual installments beginning on March 12, 2019.