Moore Carol's Form 4 filing
Cerus Corp (CERS) · filed Mar 16, 2022
- Accession no.
- 0001209191-22-019303
- Filed
- Mar 16, 2022
- Trade date
- Mar 12-14, 2022
- Filing delay
- 4 daysLate
- 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 $143.7K. It was filed 4 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Moore CarolCIK 0001574700 | Officer (SVP Reg. & Quality) |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 12, 2022 | Common Stock | MOption exerciseAcquired | +45,000 | –F1 | – | 273,344 | Direct | |
| Mar 14, 2022 | Common Stock | SSaleDisposed | −16,152 | $5.04F3 | −$81,406.08 | 257,192 | Direct | |
| Mar 12, 2022 | Common Stock | MOption exerciseAcquired | +22,770 | –F1 | – | 279,962 | Direct | |
| Mar 14, 2022 | Common Stock | SSaleDisposed | −8,173 | $5.04F3 | −$41,191.92 | 271,789 | Direct | |
| Mar 12, 2022 | Common Stock | MOption exerciseAcquired | +11,667 | –F1 | – | 283,456 | Direct | |
| Mar 14, 2022 | Common Stock | SSaleDisposed | −4,188 | $5.04F3 | −$21,107.52 | 279,268 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 12, 2022 | Common Stock | MOption exerciseDisposed | −45,000 | –F5 | – | 0 | Direct | |
| Mar 12, 2022 | Common Stock | MOption exerciseDisposed | −22,770 | –F5 | – | 23,460 | Direct | |
| Mar 12, 2022 | Common Stock | MOption exerciseDisposed | −11,667 | –F5 | – | 23,333 | 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
Each restricted stock unit represents a contingent right to receive one (1) share of Cerus Common Stock.
Referenced by the price of 3 transactions in Table I.
- F3
The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.871 to $5.22 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.
Referenced by the price of 3 transactions in Table I.
- F5
Not applicable.
Referenced by the price of 3 transactions in Table II.