SEC Form 4 · accession 0001185185-17-001921
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
Aug 7, 2017
Accepted (ET)
Sep 1, 2017 · 4:01 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 | $0.0326 | Aug 7, 2017 | A | 15,000,000 | A | — | Aug 7, 2027 | Common Stock | 15,000,000 | 36,841,284 | D |
| Stock Option (right to buy) | $0.0326 | Aug 7, 2017 | A | 1,500,000 | A | Aug 7, 2017 | Aug 7, 2017 | Common Stock | 1,500,000 | 38,341,284 | D |
Explanation of responses
- F13,750,000 vest on 08/07/2018, 3,750,000 vest on 08/07/2019, 3,750,000 vest on 08/07/2020, and 3,750,000 vest on 08/07/2021.