SEC Form 4 · accession 0001437749-15-020413
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Harris
10% Owner · Other
Period of report
Nov 6, 2015
Accepted (ET)
Nov 10, 2015 · 5:32 pm EST
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 | Nov 6, 2015 | S | 30,190 | $0.60 | D | 4,541,078 | D | |
| Common StockF1,F2 | Nov 9, 2015 | S | 48,468 | $0.60 | D | 4,492,610 | D | |
| Common StockF1,F2 | Nov 10, 2015 | S | 2,200 | $0.60 | D | 4,490,410 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 28, 2015.
- F2Also includes 33,333 shares of restricted stock which will vest on February 18, 2016 and 2017.