SEC Form 4 · accession 0001140361-15-026579
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mahendra S. Rao
Director
Period of report
Jun 30, 2015
Accepted (ET)
Jul 2, 2015 · 4:36 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 30, 2015 | A | 4,412 | $0.85 | A | 14,134 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF2 | $0.8099 | Jul 1, 2015 | A | 25,000 | D | — | Jul 1, 2022 | Common Stock | 25,000 | 90,000 | D |
Explanation of responses
- F1As Chairman of the Clinical Program Review Committee, the reporting person receives common stock in lieu of cash for 50% of the committee fees.
- F2Option vests monthly over a one year period.