SEC Form 4 · accession 0001354488-15-000706
Cellular Biomedicine Group, Inc. · CBMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tony Liu
Officer — Chief Financial Officer
Period of report
Feb 17, 2015
Accepted (ET)
Feb 17, 2015 · 12:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001378624
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock OptionF1 | $20.63 | Feb 11, 2015 | A | 15,000 | A | — | Jul 23, 2021 | Common Stock | 15,000 | 275,300 | D |
| Non-Qualified Stock OptionF2 | $20.63 | Feb 11, 2015 | A | 15,000 | A | — | Aug 14, 2021 | Common Stock | 15,000 | 290,300 | D |
| Non-Qualified Stock OptionF3 | $15.53 | Feb 11, 2015 | A | 97,800 | A | — | Dec 31, 2021 | Common Stock | 97,800 | 388,100 | D |
| Non-Qualified Stock OptionF3 | $15.53 | Feb 11, 2015 | A | 8,000 | A | — | Dec 31, 2021 | Common Stock | 8,000 | 396,100 | D |
Explanation of responses
- F1This option vests over a period of three years according to the following schedule: 1/3 on July 23, 2015 and 1/3 on each anniversary thereafter.
- F2This option vests over a period of three years according to the following schedule: 1/3 on August 14, 2015 and 1/3 on each anniversary thereafter.
- F3This option vests over a period of three years according to the following schedule: 1/3 on December 31, 2015 and 1/3 on each anniversary thereafter.