Avalo Therapeutics (AVTX) Form 4 Cerecor / Phil Gutry ownership change

SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Gutry Phil

(Last) (First) (Middle)

C/O CERECOR INC.

540 GAITHER ROAD SUITE 400

(Street)

ROCKVILLE MD 20850

(City) (State) (Zip)

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)

3. Date of Earliest Transaction (Month/Day/Year)
06/28/2019

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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

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 (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	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 (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (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: 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)	$5.44	06/28/2019		A		2,323		06/28/2019	06/28/2029	Common Stock	2,323	$0.00	2,323	D
Stock Option (Right to Buy)	$5.84							03/29/2019	03/29/2029	Common Stock	1,916		1,916	D
Stock Option (Right to Buy)	$3.23							12/31/2018	12/31/2028	Common Stock	3,439		3,439	D
Stock Option (Right to Buy)	$4.67							09/28/2018	09/28/2028	Common Stock	2,351		2,351	D
Stock Option (Right to Buy)	$4.34							06/29/2018	06/29/2028	Common Stock	2,544		2,544	D
Stock Option (Right to Buy)	$3.71							(1)	05/14/2028	Common Stock	8,357		8,357	D
Stock Option (Right to Buy)	$4.29							03/31/2018	03/30/2028	Common Stock	2,350		2,350	D
Stock Option (Right to Buy)	$3.2							12/31/2017	12/30/2027	Common Stock	3,179		3,179	D
Stock Option (Right to Buy)	$0.85							09/30/2017	09/29/2027	Common Stock	10,600		10,600	D
Stock Option (Right to Buy)	$0.57							(1)	06/29/2027	Common Stock	8,357		8,357	D
Stock Option (Right to Buy)	$0.57							06/30/2017	06/29/2027	Common Stock	14,224		14,224	D
Stock Option (Right to Buy)	$0.68							03/31/2017	03/30/2027	Common Stock	10,131		10,131	D
Stock Option (Right to Buy)	$0.88							12/31/2016	12/30/2026	Common Stock	3,793		3,793	D
Stock Option (Right to Buy)	$4.23							09/30/2016	09/29/2026	Common Stock	886		886	D
Stock Option (Right to Buy)	$2.2							06/30/2016	06/29/2026	Common Stock	1,638		1,638	D
Stock Option (Right to Buy)	$3.52							(1)	05/17/2026	Common Stock	8,357		8,357	D
Stock Option (Right to Buy)	$5.8							(1)	11/08/2025	Common Stock	16,714		16,714	D

Explanation of Responses:

1. The stock option is fully vested.

	/s/ Donald R. Reynolds, by Power of Attorney	07/02/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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