SEC Form 4 · accession 0001437749-17-003401
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vivian H Liu
Officer — COO · Director
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 11:50 am 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 | Feb 24, 2017 | A | 25,000 | $2.89 | A | 25,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $2.89 | Feb 24, 2017 | A | 25,000 | A | — | Feb 24, 2024 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1The restricted stock units and options vest in four equal installments: 25% on March 31, 2017, 25% on June 30, 2017, 25% on September 30, 2017 and 25% on December 31, 2017. Under the terms of the award agreements, no portion of the option maybe exercised and no shares of stock underlying the option or restricted stock units will be issued under our 2016 Equity Incentive Plan until our stockholders approve such plan.