SEC Form 4 · accession 0001437749-18-022211
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
Dec 14, 2018
Accepted (ET)
Dec 18, 2018 · 8:00 pm EST
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 Option | $0.2979 | Dec 14, 2018 | A | 40,000 | A | Dec 14, 2018 | Dec 14, 2028 | Common Stock | 40,000 | 40,000 | D |
| Stock OptionF1 | $0.2979 | Dec 14, 2018 | A | 160,000 | A | — | Dec 14, 2028 | Common Stock | 160,000 | 160,000 | D |
Explanation of responses
- F1Option vests in four equal installments on December 14, 2019, 2020, 2021 and 2022. Under the terms of the award agreement, no portion of the option maybe exercised unless and until the stockholders of the Company approve the December 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.