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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
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 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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (Right to Buy) | $ 6.28 | 03/03/2014 | A | 325,000 | (2) | 03/02/2024 | Common Stock | 325,000 | (3) | 325,000 | D | ||||
Option (Right to Buy) | $ 2.28 | 03/03/2014 | M | 53,500 | (4) | 06/28/2014 | Common Stock | 53,500 | (5) | 46,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Greenman William Mariner C/O CERUS CORPORATION 2550 STANWELL DRIVE CONCORD, CA 94520 |
X | President and CEO |
William M. Greenman by Chrystal Menard, attorney-in-fact | 03/04/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Includes shares purchased pursuant to a qualified Employee Stock Purchase Plan on 2/28/2007 of 3,994 shares, on 2/29/2008 of 3,546 shares, on 2/28/2013 of 7,692 shares and on 2/28/2014 of 4,448 shares. |
(2) | One eighth (1/8th) of the shares subject to the Option shall vest six (6) months after the transaction date and one forty-eighth (1/48th) of the shares subject to the Option shall vest on each monthly anniversary of the transaction date thereafter. |
(3) | Not applicable. |
(4) | One eighth (1/8th) of the shares subject to the Option vested six months (6) after June 29, 2004 and one forty-eighth (1/48th) of the shares subject to the Option vested on each monthly anniversary of such date thereafter. |
(5) | Not applicable. |