SEC Form 4 · accession 0001140361-17-020114
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Russell M Medford
Director
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 4:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000811212
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $3.19 | May 10, 2017 | A | 12,250 | A | — | May 10, 2027 | Common Stock | 12,250 | 12,250 | D |
| Stock OptionsF2 | $2.89 | holding | — | — | — | — | Feb 24, 2024 | Common Stock | 1,250 | 1,250 | D |
Explanation of responses
- F1The option vests as to 2,040 shares on the date of grant, 510 shares on the last day of each month thereafter for 19 months (beginning on June 30, 2017) and 520 shares on January 31, 2019, subject to the early termination provisions and other terms and conditions of the 2016 Equity Incentive Plan, as amended.
- F2Options vest monthly over a one year period. Under the terms of the award agreement, no portion of the options may be exercised and no stock underlying the option will be issued under our 2016 Equity Incentive Plan until our stockholders approve such plan.