AVTX

SEC source: 0001062993-22-000250 · form4.xml · derivative · entry 1

Almenoff June Sherie · CIK 0001492647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 737

Underlying: Common Stock · 737 shares

Expires 2031-12-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001062993-22-000242 · form4.xml · derivative · entry 1

KAPLAN GILLA · CIK 0001247024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,767

Underlying: Common Stock · 12,767 shares

Expires 2031-12-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001062993-22-000247 · form4.xml · derivative · entry 1

Persson Magnus · CIK 0001653222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,943

Underlying: Common Stock · 7,943 shares

Expires 2031-12-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001062993-22-000244 · form4.xml · derivative · entry 1

Miller Joseph M · CIK 0001746372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,920

Underlying: Common Stock · 8,920 shares

Expires 2031-12-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001879785-21-000039 · edgar.xml · nonDerivative · entry 1

Sullivan Christopher Ryan · CIK 0001810417 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,004

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001879785-21-000041 · edgar.xml · nonDerivative · entry 1

Wilkins H Jeffrey · CIK 0001779160 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,373

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001879785-21-000038 · edgar.xml · nonDerivative · entry 1

Harrell James Archie Jr · CIK 0001738462 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,766

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001879785-21-000035 · edgar.xml · nonDerivative · entry 1

Greenway Schond L. · CIK 0001848205 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,883

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001879785-21-000037 · edgar.xml · nonDerivative · entry 1

NEIL GARRY ARTHUR · CIK 0001586785 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,639

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001878930-21-000010 · edgar.xml · derivative · entry 1

Chan Mitchell · CIK 0001789335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2031-12-01

F1 · derivative.exercise_date: The stock option will vest in three substantially equal installments on December 1, 2022, December 1, 2023 and December 1, 2024, subject to the Reporting Person's continued service on each such vesting date.

SEC source: 0001878894-21-000022 · edgar.xml · derivative · entry 1

Almenoff June Sherie · CIK 0001492647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2031-11-10

F1 · derivative.exercise_date: The stock option will vest in three substantially equal installments on November 10, 2022, November 10, 2023 and November 10, 2024, subject to the Reporting Person's continued service on each such vesting date.

SEC source: 0001878894-21-000003 · edgar.xml · derivative · entry 1

COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,116

Underlying: Common Stock · 78,116 shares

Expires 2031-10-01

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted. If employment is terminated prior to the end of the calendar quarter in which the option was granted, the number of shares underlying such stock option that reflects the percentage of calendar days remaining in such calendar quarter after such employment termination date shall be forfeited and deemed cancelled.

SEC source: 0001878894-21-000005 · edgar.xml · derivative · entry 1

KAPLAN GILLA · CIK 0001247024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,541

Underlying: Common Stock · 9,541 shares

Expires 2031-09-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001878894-21-000013 · edgar.xml · derivative · entry 1

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,204

Underlying: Common Stock · 5,204 shares

Expires 2031-09-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001878894-21-000011 · edgar.xml · derivative · entry 1

Gutry Phil · CIK 0001653224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,718

Underlying: Common Stock · 4,718 shares

Expires 2031-09-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001878894-21-000007 · edgar.xml · derivative · entry 1

Persson Magnus · CIK 0001653222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,985

Underlying: Common Stock · 5,985 shares

Expires 2031-09-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001878894-21-000009 · edgar.xml · derivative · entry 1

Miller Joseph M · CIK 0001746372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,939

Underlying: Common Stock · 6,939 shares

Expires 2031-09-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0000899243-21-036402 · doc4.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 45,000,000

F1 · ownership.nature: The reported securities of Avalo Therapeutics, Inc. (f/k/a Cerecor Inc.) (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-036402 · doc4.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,545,455

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.1874 to $2.3089, inclusive.

F1 · ownership.nature: The reported securities of Avalo Therapeutics, Inc. (f/k/a Cerecor Inc.) (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-036402 · doc4.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,395,455

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.1461 to $2.3594, inclusive. The reporting persons undertake 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 purchased at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.

F1 · ownership.nature: The reported securities of Avalo Therapeutics, Inc. (f/k/a Cerecor Inc.) (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-033505 · doc4.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,300,000

F1 · ownership.nature: The reported securities of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-033505 · doc4.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,280,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.7507 to $2.774, inclusive. The reporting persons undertake 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 purchased at each separate price within the range set forth in this footnote.

F1 · ownership.nature: The reported securities of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001567619-21-014631 · doc1.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,250,000

F1 · ownership.nature: The reported securities (the "Shares") of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001567619-21-014631 · doc1.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,225,000

F1 · ownership.nature: The reported securities (the "Shares") of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001567619-21-014631 · doc1.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,200,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.6541 to $2.6997, inclusive. The reporting persons undertake 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 purchased at each separate price within the ranges set forth in footnote (2) to this Form 4.

F1 · ownership.nature: The reported securities (the "Shares") of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001192482-21-000611 · edgar.xml · derivative · entry 1

COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,740

Underlying: Common Stock · 51,740 shares

Expires 2031-07-01

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted. If employment is terminated prior to the end of the calendar quarter in which the option was granted, the number of shares underlying such stock option that reflects the percentage of calendar days remaining in such calendar quarter after such employment termination date shall be forfeited and deemed cancelled.

SEC source: 0001192482-21-000605 · edgar.xml · derivative · entry 1

KAPLAN GILLA · CIK 0001247024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,353

Underlying: Common Stock · 6,353 shares

Expires 2031-06-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000607 · edgar.xml · derivative · entry 1

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,465

Underlying: Common Stock · 3,465 shares

Expires 2031-06-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000603 · edgar.xml · derivative · entry 1

Miller Joseph M · CIK 0001746372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,620

Underlying: Common Stock · 4,620 shares

Expires 2031-06-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000600 · edgar.xml · derivative · entry 1

Gutry Phil · CIK 0001653224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,142

Underlying: Common Stock · 3,142 shares

Expires 2031-06-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000598 · edgar.xml · derivative · entry 1

Persson Magnus · CIK 0001653222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,985

Underlying: Common Stock · 3,985 shares

Expires 2031-06-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000516 · edgar.xml · derivative · entry 1

KAPLAN GILLA · CIK 0001247024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-06-15

F1 · shares: This stock option will be fully vested and exercisable on June 15, 2022, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-21-000521 · edgar.xml · derivative · entry 1

BARER SOL J · CIK 0001247015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-06-15

F1 · shares: This stock option will be fully vested and exercisable on June 15, 2022, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-21-000517 · edgar.xml · derivative · entry 1

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-06-15

F1 · shares: This stock option will be fully vested and exercisable on June 15, 2022, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-21-000524 · edgar.xml · derivative · entry 1

Gutry Phil · CIK 0001653224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-06-15

F1 · shares: This stock option will be fully vested and exercisable on June 15, 2022, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-21-000523 · edgar.xml · derivative · entry 1

Persson Magnus · CIK 0001653222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-06-15

F1 · shares: This stock option will be fully vested and exercisable on June 15, 2022, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-21-000520 · edgar.xml · derivative · entry 1

Miller Joseph M · CIK 0001746372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-06-15

F1 · shares: This stock option will be fully vested and exercisable on June 15, 2022, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-21-000498 · edgar.xml · nonDerivative · entry 1

Wilkins H Jeffrey · CIK 0001779160 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,002

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001192482-21-000499 · edgar.xml · nonDerivative · entry 1

Harrell James Archie Jr · CIK 0001738462 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,673

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001192482-21-000500 · edgar.xml · nonDerivative · entry 1

Greenway Schond L. · CIK 0001848205 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,652

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001192482-21-000501 · edgar.xml · nonDerivative · entry 1

NEIL GARRY ARTHUR · CIK 0001586785 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,372

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0000919574-21-003782 · ownership.xml · nonDerivative · entry 6

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,100,000

F1 · ownership.nature: The reported securities (the "Shares") of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-003782 · ownership.xml · nonDerivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,100,000

F4 · price: This constitutes the weighted average purchase price per Share. The prices range from $2.32 to $2.35. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of Shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-003782 · ownership.xml · nonDerivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,078,000

F1 · ownership.nature: The reported securities (the "Shares") of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-003782 · ownership.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,078,000

F3 · price: These Shares were purchased in multiple transactions. The purchase price for each transaction was $2.20 per Share.

F1 · ownership.direct: The reported securities (the "Shares") of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-003782 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,048,000

F1 · ownership.nature: The reported securities (the "Shares") of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-003782 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,048,000

F2 · price: This constitutes the weighted average purchase price per Share. The prices range from $2.12 to $2.20. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of Shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-003033 · ownership.xml · derivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: COMMON STOCK · 0 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons on April 15, 2021 into shares of the Issuer's Common Stock, $0.001 par value. This transaction is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) promulgated under the Exchange Act.

F3 · price: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons on April 15, 2021 into shares of the Issuer's Common Stock, $0.001 par value. This transaction is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) promulgated under the Exchange Act.

F4 · derivative.expiration_date: The shares of the Issuer's Series B Non-Voting Convertible Preferred Stock do not have an expiration date.

F2 · ownership.nature: The reported securities are directly owned by Mr. Boyd in his personal capacity.

SEC source: 0000919574-21-003033 · ownership.xml · derivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 6,285,715 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons on April 15, 2021 into shares of the Issuer's Common Stock, $0.001 par value. This transaction is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) promulgated under the Exchange Act.

F3 · price: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons on April 15, 2021 into shares of the Issuer's Common Stock, $0.001 par value. This transaction is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) promulgated under the Exchange Act.

F4 · derivative.expiration_date: The shares of the Issuer's Series B Non-Voting Convertible Preferred Stock do not have an expiration date.

F1 · ownership.direct: The reported securities of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

SEC source: 0000919574-21-003033 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 38,920,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons on April 15, 2021 into shares of the Issuer's Common Stock, $0.001 par value. This transaction is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) promulgated under the Exchange Act.

F1 · ownership.nature: The reported securities of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.