SEC Form 4 · accession 0001354488-15-005296
Cellular Biomedicine Group, Inc. · CBMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew K Chan
Other
Period of report
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 8:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001378624
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 20, 2015 | S | 4,036 | $20.46 | D | 155,757 | D | |
| Common Stock | Nov 23, 2015 | M | 1,296 | $3.00 | A | 157,053 | D | |
| Common Stock | Nov 23, 2015 | S | 1,296 | $21.21 | D | 155,757 | D |
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 Option (right to buy) (2011 Plan)F2 | $3.00 | Nov 23, 2015 | M | 1,296 | D | — | Feb 20, 2023 | Common Stock | 1,296 | 42,779 | D |
Explanation of responses
- F1The transaction reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 25, 2015. Accordingly, the reporting person had no discretion with regard to the timing of the transaction.
- F2The option vested according to the following schedule: 1/36th per month following the vesting commencement date of February 20, 2013.