SEC Form 4 · accession 0001437749-16-035129
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robin C Stracey
Officer — CEO · Director
Period of report
Jul 7, 2016
Accepted (ET)
Jul 11, 2016 · 9:37 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 | Jul 7, 2016 | A | 55,168 | $2.86 | A | 57,688 | D | |
| Common StockF1 | Jul 7, 2016 | F | 20,732 | $2.86 | D | 39,956 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $2.86 | Jul 7, 2016 | A | 60,000 | A | — | Jul 7, 2023 | Common Stock | 60,000 | 60,000 | D |
Explanation of responses
- F1Net surrender of vested stock for payment of taxes related thereto.
- F2Options vest every six months in six equal installments starting January 7, 2017. Under the terms of the option award, no portion of the option may be exercised and no shares of stock underlying the option will be issued under our 2016 Equity Incentive Plan until our stockholders approve such plan.