SEC Form 4 · accession 0001179110-16-016916
Ocata Therapeutics, Inc. · OCAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan C Shapiro
Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 4, 2016 · 4:44 pm EST
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 | Dec 31, 2015 | A | 1,250 | — | A | 252,206 | I | By Trust |
| Common StockF3 | Dec 31, 2015 | J | 0 | $0.00 | A | 15,530 | I | By Trust |
| Common StockF4 | Dec 31, 2015 | J | 0 | $0.00 | A | 15,530 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $8.36 | Jan 4, 2016 | A | 5,000 | A | Jan 4, 2016 | Jan 4, 2026 | Common Stock | 5,000 | 5,000 | D |
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.