Sec Form 4 Filing - Hacksell Uli @ Cerecor Inc. - 2016-12-10

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Hacksell Uli
2. Issuer Name and Ticker or Trading Symbol
Cerecor Inc. [ CERC]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O CERECOR INC., 540 GAITHER ROAD, SUITE 400
3. Date of Earliest Transaction (MM/DD/YY)
12/10/2016
(Street)
ROCKVILLE, MD20850
4. If Amendment, Date Original Filed (MM/DD/YY)
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)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 12/10/2016 P 10,000 ( 1 ) A $ 1.07 10,000 D
Common Stock 06/09/2017 P 10,000 ( 1 ) A $ 0.42 20,000 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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) $ 5.84 03/29/2019 A 1,724 03/29/2019 03/28/2019 Common Stock 1,724 $ 0 1,724 D
Stock Option (Right to Buy) $ 3.23 12/31/2018 12/30/2028 Common Stock 3,095 3,095 D
Stock Option (Right to Buy) $ 3.71 05/15/2019( 2 ) 05/14/2028 Common Stock 8,357 8,357 D
Stock Option (Right to Buy) $ 0.87 ( 3 ) 01/25/2027 Common Stock 100,000 100,000 D
Stock Option (Right to Buy) $ 3.77 ( 4 ) 08/16/2026 Common Stock 130,000 130,000 D
Stock Option (Right to Buy) $ 3.35 ( 5 ) 12/31/2025 Common Stock 360,459 360,459 D
Stock Option (Right to Buy) $ 5.8 ( 6 ) 10/31/2025 Common Stock 16,714 16,714 D
Stock Option (Right to Buy) $ 6.13 05/20/2015 04/30/2025 Common Stock 11,607 11,607 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Hacksell Uli
C/O CERECOR INC.
540 GAITHER ROAD, SUITE 400
ROCKVILLE, MD20850
X
Signatures
/s/ Donald R. Reynolds, by Power of Attorney 04/01/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.
( 2 )The stock options will vest in full on May 15, 2019, subject to the grantee's continued service on such vesting date.
( 3 )33,333 of the shares underlying the option vested and became exercisable on the date of grant; 33,333 shares vested and became exercisable on the first anniversary of the date of grant, and 33,334 shares vested and became exercisable on the second anniversary of the date of grant, subject to the Reporting Person's continuous service with the Issuer on each such date.
( 4 )32,500 of the shares underlying the option shall vest and become exercisable on August 17, 2017; the remaining shares shall vest and become exercisable in 36 equal monthly installments thereafter beginning on September 17, 2017, subject to the Reporting Person's continued service with the Issuer on each such date.
( 5 )One third of the shares subject to the stock option will vest on January 1, 2017, and the remaining two thirds of the shares subject to the stock option vested in equal monthly installments over the following 24 months.
( 6 )The Stock Options vested in three equal installments on November 9, 2016, 2017 and 2018.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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