SEC Form 4 · accession 0001437749-18-007108
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomis Joseph
Director
Period of report
Apr 16, 2018
Accepted (ET)
Apr 18, 2018 · 5:40 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 OptionsF2,F1 | $3.00 | Apr 16, 2018 | D | 34,000 | D | — | Dec 31, 2028 | Common Stock | 34,000 | 20,000 | D |
Explanation of responses
- F1The option vests in two (2) installments. 13,500 shares on December 31, 2018 and 6,500 shares on December 31, 2019. 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.
- F234,000 shares of the stock options were cancelled by mutual agreement of the reporting person and Cesca Therapeutics Inc. The reporting person received no cash consideration for the cancellation.