SEC Form 4 · accession 0001654954-18-003882

Cellular Biomedicine Group, Inc. · CBMG

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Apr 10, 2018

Accepted (ET)

Apr 12, 2018 · 4:05 pm EDT

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
Common Stock	Apr 10, 2018	M	10,400	$15.53	A	223,476	D
Common Stock^F2	Apr 10, 2018	S	10,400	$20.095	D	213,076	D
Common Stock	Apr 11, 2018	M	12,044	$15.53	A	225,120	D
Common Stock^F3	Apr 11, 2018	S	12,044	$20.08	D	213,076	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Non-Qlfd. Stock Option(right to buy)(2014 Plan-Grant 14-142)^F4	$15.53	Apr 10, 2018	M	10,400	D	—	—	Common Stock	10,400	12,044	D
Non-Qlfd. Stock Option(right to buy)(2014 Plan-Grant 14-142)^F4	$15.53	Apr 11, 2018	M	12,044	D	—	—	Common Stock	12,044	0	D

F1The transactions reported were 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 transactions.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.05 to $20.20, inclusive.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.40, inclusive.
F4This option vested over a period of three years according to the following schedule: 1/3 on December 31, 2015 and 1/3 on each anniversary thereafter. The expiration date of such option is May 6, 2017 or 3 months after the reporting person ceases serving on the board of directors of the registrant, whichever is later.