SEC Form 4 · accession 0001437749-18-016607
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomis Joseph
Director
Period of report
Sep 4, 2018
Accepted (ET)
Sep 5, 2018 · 2:48 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 | Sep 4, 2018 | J | 35,000 | — | D | 0 | I | By Thomis Consulting BVBA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On August 28, 2018, an affiliate of the Reporting Person agreed to purchase 35,000 shares in a private offering from the Issuer for an aggregate purchase price of $6,300, as reported in a Form 4 filed by the Reporting Person on August 30, 2018. However, for the purposes of complying with certain rules of the Nasdaq Capital Market, the transaction was mutually rescinded on September 4, 2018 prior to the issuance of the shares and the completion of the transaction.