SEC Form 4 · accession 0001437749-16-038049
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Xiaochun Xu
Director · 10% Owner
Period of report
Aug 22, 2016
Accepted (ET)
Aug 24, 2016 · 9:23 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 | Aug 22, 2016 | A | 6,102,941 | $3.40 | A | 6,838,236 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of 6,102,941 shares of Common Stock held directly by Boyalife Investment Inc. ("Boyalife USA") and 735,295 shares of Common Stock held directly by Boyalife (Hong Kong) Ltd. ("Boyalife HK"). Dr. Xu is the President and Chairman of Boyalife USA and the sole stockholder of Boyalife Group Ltd., which is itself the sole stockholder of Boyalife USA. Dr. Xu's spouse, Ms. Yishu Li, is the sole stockholder of Boyalife HK. Dr. Xu disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.