SEC Form 4 · accession 0001179110-15-011599
Ocata Therapeutics, Inc. · OCAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul K Wotton
Officer — President and CEO · Director
Period of report
Jul 30, 2015
Accepted (ET)
Jul 31, 2015 · 4:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001140098
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 30, 2015 | F | 32,500 | $4.23 | D | 267,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As previously reported, on July 30, 2014, the reporting person received a grant of 300,000 Restricted Stock Units, which vest one-third on the first anniversary of the grant date, one-third on the second anniversary date of the grant date and one-third on the third anniversary date of the grant date. On July 30, 2015, the first vesting event occurred and 100,000 Restricted Stock Units vested. The transaction reported on this Form 4 represents shares withheld under a net issuance program instituted by the Company to satisfy the reporting person's tax obligations in connection with this vesting event.