SEC Form 4 · accession 0001437749-15-017263
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Bruch
Officer — Interim CFO
Period of report
Sep 10, 2015
Accepted (ET)
Sep 14, 2015 · 7:38 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 | Sep 10, 2015 | A | 20,000 | $0.63 | A | 124,742 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF3 | $0.63 | Sep 10, 2015 | A | 50,000 | A | — | Sep 10, 2022 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Also includes 7,194 shares of restricted stock which will vest one half on June 30, 2016 and 2017.
- F2Also represents 30,000 shares of restricted stock that vest upon filing Cesca's Form 10-K for the fiscal year ending June 30, 2015.
- F3Option vests over three years in six month installments starting March 10, 2016.