# EDGAR Filing Document

**Accession Number:** 0001197018
**File Stem:** 0000899243-23-004360
**Filing Date:** 2023-2
**Character Count:** 8256
**Document Hash:** c89f97af03bb53f1123079265d01dc3d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000899243-23-004360.hdr.sgml**: 20230208

**ACCESSION NUMBER**: 0000899243-23-004360

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230206

**FILED AS OF DATE**: 20230208

**DATE AS OF CHANGE**: 20230208

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** COLES N ANTHONY
- **CENTRAL INDEX KEY:** 0001197018

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39311
- **FILM NUMBER:** 23600744

**MAIL ADDRESS:**
- **STREET 1:** MORRIS CORP. CENTER I; BLDG. B; 4TH FLR.
- **STREET 2:** 300 INTERPACE PARKWAY
- **CITY:** PARSIPPANY
- **STATE:** NJ
- **ZIP:** 07054
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Cerevel Therapeutics Holdings, Inc.
- **CENTRAL INDEX KEY:** 0001805387
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 222 JACOBS STREET
- **STREET 2:** SUITE 200
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02141
- **BUSINESS PHONE:** 844-304-2048

**MAIL ADDRESS:**
- **STREET 1:** 222 JACOBS STREET
- **STREET 2:** SUITE 200
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02141

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ARYA Sciences Acquisition Corp II
- **DATE OF NAME CHANGE:** 20200303

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>COLES N ANTHONY<br><sub>(Last) (First) (Middle)</sub><br>C/O CEREVEL THERAPEUTICS HOLDINGS, INC.<br>222 JACOBS STREET, SUITE 200<br><sub>(Street)</sub><br>CAMBRIDGE, MA 02141<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-06 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CEO and Chairperson_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Cerevel Therapeutics Holdings, Inc. [ CERE ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-07 |  | M<sup>(1)</sup> |  | 50000 | A | $3.50 | 52704 | D |  |
| Common Stock | 2023-02-07 |  | S<sup>(1)</sup> |  | 42058 | D | 33.0437<sup>(2)</sup> | 10646 | D |  |
| Common Stock | 2023-02-07 |  | S<sup>(1)</sup> |  | 7942 | D | 33.5745<sup>(3)</sup> | 2704 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | $34.41 | 2023-02-06 |  | A |  | 243042 |  | <sup>(4)</sup> | 2033-02-06 | Common Stock | 243042 | $0.00 | 243042 | D |  |
| Restricted Stock Units | <sup>(5)</sup> | 2023-02-06 |  | A |  | 61762 |  | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock | 61762 | $0.00 | 61762 | D |  |
| Stock Option (Right to Buy) | $3.50 | 2023-02-07 |  | M<sup>(1)</sup> |  |  | 50000 | <sup>(7)</sup> | 2028-12-24 | Common Stock | 50000 | $0.00 | 2952417 | D |  |

---

### Footnotes:

(1) These transactions were effected pursuant to a Rule 10b5-1 trading plan dated November 9, 2022 adopted by the Reporting Person.

(2) The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.44 - $33.43. 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 range set forth in this footnote.

(3) The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.44 - $34.30. 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 range set forth in this footnote.

(4) 25% of this option shall vest and become exercisable on February 6, 2024, with the remainder vesting in thirty-six (36) monthly installments thereafter, subject to the Reporting Person's continued service on each such vesting date.

(5) The shares reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock.

(6) The RSUs vest in four equal annual installments on each of February 6, 2024, February 6, 2025, February 6, 2026 and February 6, 2027, subject to the Reporting Person's continued service on each such vesting date.

(7) 25% of the shares subject to this option vested and became exercisable on November 27, 2019, with remainder vesting in 36 equal monthly installments thereafter.

**Signature:** /s/ Mark Bodenrader, as Attorney-in-Fact  
**Date:** 2023-02-08

### Remarks:

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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**