Benjamin Richard J's Form 4 filing
Cerus Corp (CERS) · filed Nov 5, 2021
- Accession no.
- 0001209191-21-063270
- Filed
- Nov 5, 2021
- Trade date
- Nov 3, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.27M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Benjamin Richard JCIK 0001296322 | Officer (Chief Medical Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2021 | Common Stock | MOption exerciseAcquired | +100,000 | $4.72 | +$472,000 | 176,035 | Direct | |
| Nov 3, 2021 | Common Stock | SSaleDisposed | −100,000 | $7.90F1 | −$790,000 | 76,035 | Direct | |
| Nov 3, 2021 | Common Stock | MOption exerciseAcquired | +33,333 | $4.33 | +$144,331.89 | 109,368 | Direct | |
| Nov 3, 2021 | Common Stock | SSaleDisposed | −33,333 | $7.35F1 | −$244,997.55 | 76,035 | Direct | |
| Nov 3, 2021 | Common Stock | MOption exerciseAcquired | +31,667 | $4.32 | +$136,801.44 | 107,702 | Direct | |
| Nov 3, 2021 | Common Stock | SSaleDisposed | −31,667 | $7.35F1 | −$232,752.45 | 76,035 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2021 | Common Stock | MOption exerciseDisposed | −100,000 | –F3 | – | 0 | Direct | |
| Nov 3, 2021 | Common Stock | MOption exerciseDisposed | −33,333 | –F3 | – | 8,334 | Direct | |
| Nov 3, 2021 | Common Stock | MOption exerciseDisposed | −31,667 | –F3 | – | 31,667 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction was executed pursuant to a 10b5-1 plan.
Referenced by the price of 3 transactions in Table I.
- F3
Not applicable.
Referenced by the price of 3 transactions in Table II.