SEC Form 4 · accession 0001354488-16-006317
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
Feb 17, 2016
Accepted (ET)
Feb 19, 2016 · 6:39 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 | Feb 17, 2016 | M | 1,516 | $5.61 | A | 147,263 | D | |
| Common Stock | Feb 17, 2016 | S | 1,516 | $17.76 | D | 145,747 | 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) (2013 Plan)F2 | $5.61 | Feb 17, 2016 | M | 1,516 | D | — | May 16, 2023 | Common Stock | 1,516 | 37,904 | 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: 1/31st per month following the vesting commencement date of May 16, 2014.