SEC Form 4 · accession 0001654954-17-011879
Cellular Biomedicine Group, Inc. · CBMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tony Liu
Officer — CEO, CFO · Director
Period of report
Dec 22, 2017
Accepted (ET)
Dec 27, 2017 · 5:08 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 StockF1,F2 | Dec 22, 2017 | P | 29,167 | $12.00 | A | 139,167 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were purchased pursuant to that certain Share Purchase Agreement, dated December 15, 2017, by and among the issuer, the reporting person and two other officers of the issuer. The issuance of the shares was made in reliance on the exemption from registration pursuant to Section 4(a)(2) of the Securities Act of 1933, as amended.
- F2The amount does not include shares of common stock granted as part of the Restricted Stock Units under the Cellular Biomedicine Group, Inc. 2014 Stock Incentive Plan, which grant has been previously reported on the reporting person's Form 4.