SEC Form 4 · accession 0001683168-16-001026
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Boyalife (Hong Kong) Ltd
10% Owner
Period of report
Dec 26, 2016
Accepted (ET)
Dec 28, 2016 · 4:43 pm EST
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 Stock | Dec 26, 2016 | P | 6,102,942 | $2.52 | A | 6,838,237 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to purchase common stock | $0.40 | Dec 26, 2016 | P | 2,941,177 | A | Dec 26, 2016 | Feb 13, 2021 | Common Stock | 2,941,177 | 3,529,413 | D |
Remarks
On December 26, 2016, Boyalife (Hong Kong) ltd. acquired all the shares and warrants of Cesca Therapeutics, Inc. owned by Boyalife Investment, Inc. at $2.52 per share, the market price of Cesca Therapeutics, Inc. at the closing on December 23, 2016.