SEC Form 4 · accession 0001140361-15-024007
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robin C Stracey
Officer — CEO · Director
Period of report
Jun 9, 2015
Accepted (ET)
Jun 11, 2015 · 7:54 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 | Jun 9, 2015 | A | 1,000,000 | $0.832 | A | 1,050,405 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF2 | $0.832 | Jun 9, 2015 | A | 1,000,000 | A | — | Jun 9, 2022 | Common Stock | 1,000,000 | 1,065,000 | D |
Explanation of responses
- F1Restricted common stock units representing 1,000,000 shares of common stock vesting in 4 equal installments based upon a combination of time and milestone based targets.
- F2The options vest 25% immediately and the balance shall vest in equal monthly installments during the following 24 month period.