SEC Form 4 · accession 0001437749-16-043597
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Xiaochun Xu
Officer — Interim CEO · Director · 10% Owner
Period of report
Dec 14, 2016
Accepted (ET)
Dec 20, 2016 · 5:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000811212
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $2.91 | Dec 14, 2016 | A | 50,000 | A | — | Dec 14, 2023 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Options vest in five equal installments, 20% on date of signing the terms of employment letter (December 16, 2016), 20% on February 4, 2017, 20% on May 4, 2017, 20% on August 4, 2017 and 20% on November 4, 2017.