SEC Form 4 · accession 0001140361-17-020156
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mahendra S. Rao
Director
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 5:25 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 Stock | holding | — | — | — | 5,255 | D |
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 | 13,500 | A | — | May 10, 2027 | Common Stock | 13,500 | 13,500 | D |
Explanation of responses
- F1The option vests as to 3,934 shares on the date of grant, 562 shares on the last day of each month thereafter for 16 months (beginning on June 30, 2017) and 574 shares on October 31, 2018, subject to the early termination provisions and other terms and conditions of the 2016 Equity Incentive Plan, as amended.