SEC Form 4 · accession 0001179110-15-013499
Ocata Therapeutics, Inc. · OCAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan C Shapiro
Director
Period of report
Sep 30, 2015
Accepted (ET)
Oct 1, 2015 · 4:07 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,F2 | Sep 30, 2015 | A | 1,250 | — | A | 250,956 | I | By Trust |
| Common StockF3 | Sep 30, 2015 | J | 0 | $0.00 | A | 15,530 | I | By Trust |
| Common StockF4 | Sep 30, 2015 | J | 0 | $0.00 | A | 15,530 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Issued directly to Reporting Person by Issuer representing Board of Director Compensation.
- F2Held by the Alan Shapiro and Diane Ronningen TTEES FBO Shapiro Family Trust UAD 9/25/89, of which Reporting Person is Trustee.
- F3Held by the Diane Ronningen Grantor Retained Annuity Trust 2011 DTD 11/8/2011, of which Reporting Person is Trustee.
- F4Held by the Alan C. Shapiro Grantor Retained Annuity Trust 2011 DTD 11/8/2011, of which Reporting Person is Trustee.