SEC Form 4 · accession 0001437749-18-004556
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Xu
Director
Period of report
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 8:02 pm EDT
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 | $3.00 | Mar 9, 2018 | A | 54,000 | A | — | Dec 31, 2028 | Common Stock | 54,000 | 54,000 | D |
Explanation of responses
- F1The option vests in four (4) equal installments on December 31, 2018, 2019, 2020 and 2021.Under the terms of the award agreement, no portion of the option may be exercised unless and until the stockholders of the Company approve the November 2017 amendment to our 2016 Equity Incentive Plan, and only if such amendment is approved by the stockholders within one year of the adoption of the amendment.