SEC Form 4 · accession 0001683168-18-000493
International Stem Cell CORP · ISCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrey Semechkin
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 3:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001355790
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 20, 2018 | M | 30,556 | $1.09 | A | 3,419,816 | D | |
| Common Stock | Feb 20, 2018 | M | 15,556 | $1.10 | A | 3,435,372 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F1 | $1.09 | Feb 20, 2018 | M | 30,556 | D | — | Feb 10, 2027 | Common Stock | 69,444 | 69,444 | D |
| Stock Options (Right to Buy)F2 | $1.10 | Feb 20, 2018 | M | 15,556 | D | — | May 31, 2027 | Common Stock | 54,444 | 54,444 | D |
Explanation of responses
- F13/36th of the shares underlying such options shall vest on May 10, 2017, and the remaining share in equal monthly installments over a period of 33 months.
- F23/36th of the shares underlying such options shall vest on August 31, 2017, and the remaining share in equal monthly installments over a period of 33 months.