SEC Form 4/A · accession 0001140361-15-015521
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kenneth Pappa
Officer — VP, Manufacturing, IT
Period of report
Jul 29, 2012
Accepted (ET)
Apr 15, 2015 · 5:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000811212
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Jul 29, 2012 | F | 5,508 | $0.88 | D | 60,092 | D | |
| Common StockF1,F2,F4 | Jul 29, 2013 | F | 5,508 | $1.16 | D | 54,584 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Net surrender of vested restricted stock for payment of taxes related thereto.
- F2These shares were omitted and not timely filed on the reporting person's Form 4. However, while the corresponding Form 4 was not filed, the transactions were reflected on the reporting person's Amount of Securities Beneficially Owned Following Reported Transaction(s) in the intervening Form 4s.
- F3Also includes 33,333 shares of restricted stock which will vest on July 29, 2013 and July 29, 2014.
- F4Also includes 16,667 shares of restricted stock which will vest on July 29, 2014.