Avalo Therapeutics (AVTX) Form 4 Cerecor / Uli Hacksell 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^*

Hacksell Uli

(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)
03/31/2020

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
Common Stock								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 (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)	$2.48	03/31/2020		A		2,007		(1)	03/31/2030	Common Stock	2,007	$0	2,007	D
Stock Option (Right to Buy)	$5.39							(1)	12/31/2029	Common Stock	1,106		1,106	D
Stock Option (Right to Buy)	$3.29							(1)	09/30/2029	Common Stock	1,819		1,819	D
Stock Option (Right to Buy)	$2.93							(2)	08/07/2029	Common Stock	25,000		25,000	D
Stock Option (Right to Buy)	$5.44							(1)	06/28/2029	Common Stock	1,172		1,172	D
Stock Option (Right to Buy)	$5.84							(1)	03/29/2029	Common Stock	1,724		1,724	D
Stock Option (Right to Buy)	$3.23							(1)	12/31/2028	Common Stock	3,095		3,095	D
Stock Option (Right to Buy)	$3.71							(1)	05/15/2028	Common Stock	8,357		8,357	D
Stock Option (Right to Buy)	$0.87							(1)	01/25/2027	Common Stock	100,000		100,000	D
Stock Option (Right to Buy)	$3.77							(3)	08/16/2026	Common Stock	130,000		130,000	D
Stock Option (Right to Buy)	$3.35							(1)	12/31/2025	Common Stock	360,459		360,459	D
Stock Option (Right to Buy)	$5.8							(1)	11/08/2025	Common Stock	16,714		16,714	D
Stock Option (Right to Buy)	$6.13							(1)	06/01/2025	Common Stock	11,607		11,607	D

Explanation of Responses:

1. The stock option is fully vested.

2. The stock option will vest in full on August 7, 2020, subject to the Reporting Person's continued service on such vesting date.

3. 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.

	/s/ Donald R. Reynolds, by Power of Attorney	04/02/2020
	** 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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