SEC Form 4 · accession 0001437749-17-012176
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffery Cauble
Officer — Principal Accounting Officer
Period of report
Jul 1, 2017
Accepted (ET)
Jul 3, 2017 · 6:05 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 | Jul 1, 2017 | A | 9,320 | $3.17 | A | 9,320 | D | |
| Common StockF2 | Jul 1, 2017 | A | 4,080 | $3.17 | D | 5,240 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F19,230 shares were awarded as part of the July 3, 2016 Short Term Retention Plan, that the equity award shall be restricted stock vesting July 1, 2017 conditioned upon the individual recipient remaining as service providers to the Company as of such date.
- F2Net surrender of vested stock for payment of taxes related thereto.