SEC Form 4/A · accession 0001140361-15-015691
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
Matthew T Plavan
Officer — CEO & Director · Director
Period of report
Jun 1, 2012
Accepted (ET)
Apr 17, 2015 · 2:02 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 | Jun 1, 2012 | F | 3,300 | $0.87 | D | 115,450 | D | |
| Common StockF1,F2,F4 | Jul 29, 2012 | F | 8,263 | $0.88 | D | 107,187 | D | |
| Common StockF1,F2,F5 | Jun 1, 2013 | F | 3,300 | $1.17 | D | 103,887 | D | |
| Common StockF1,F2,F6 | Jul 29, 2013 | F | 8,402 | $1.16 | D | 95,485 | D | |
| Common StockF1,F2,F7 | Jun 1, 2014 | F | 3,395 | $1.71 | D | 302,090 | 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 20,000 shares of restricted stock which will vest in two equal installments June 1, 2013 and 2014 and 75,000 shares of restricted stock which will vest in three equal installments on July 29, 2012, 2013 and 2014.
- F4Also includes 20,000 shares of restricted stock which will vest June 1, 2013 and 2014 and 50,000 shares of restricted stock that will vest in two equal installments on July 29, 2013 and 2014.
- F5Also includes 10,000 shares of restricted stock which will vest June 1, 2014 and 50,000 shares of restricted stock which will vest in two equal installments on July 29, 2013 and 2014.
- F6Also includes 10,000 shares of restricted stock which will vest on June 1, 2014 and 25,000 shares of restricted stock which will vest on July 29, 2014.
- F7Also includes 25,000 shares of restricted stock which will vest on July 29, 2014 and 210,000 shares of restricted stock which will vest in three equal installments on March 3, 2015, 2016 and 2017.