SEC Form 4 · accession 0001185185-16-005497
U.S. Stem Cell, Inc. · USRM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mike Tomas
Officer — CEO & President · Director
Period of report
Sep 19, 2016
Accepted (ET)
Sep 23, 2016 · 4:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001388319
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 9,793 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $0.0196 | Sep 19, 2016 | A | 10,000,000 | A | — | Sep 19, 2026 | Common Stock | 10,000,000 | 10,341,284 | D |
| Stock Option (right to buy) | $0.0196 | Sep 19, 2016 | A | 1,500,000 | A | Sep 19, 2016 | Sep 19, 2026 | Common Stock | 1,500,000 | 11,841,284 | D |
Explanation of responses
- F12,500,000 vest on 09/17/2017, 2,500,000 vest on 09/17/2018, 2,500,000 vest on 09/17/2019, and 2,500,000 vest on 09/17/2020.