SEC Form 4 · accession 0001547522-15-000152
IMMUCELL CORP /DE/ · ICCC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan E Rothschild
Director · 10% Owner
Period of report
Aug 27, 2015
Accepted (ET)
Aug 31, 2015 · 2:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000811641
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.10 per share | Aug 27, 2015 | P | 400 | $7.45 | A | 515,936 | D | |
| Common Stock, par value $0.10 per share | Aug 27, 2015 | P | 400 | $7.46 | A | 516,336 | D | |
| Common Stock, par value $0.10 per share | Aug 27, 2015 | P | 400 | $7.47 | A | 516,736 | D | |
| Common Stock, par value $0.10 per share | Aug 27, 2015 | P | 300 | $7.43 | A | 517,036 | D | |
| Common Stock, par value $0.10 per share | Aug 27, 2015 | P | 200 | $7.52 | A | 517,236 | D | |
| Common Stock, par value $0.10 per shareF1 | Aug 27, 2015 | P | 200 | $7.44 | A | 517,436 | D | |
| Common Stock, par value $0.10 per shareF1 | Aug 27, 2015 | P | 700 | $7.41 | A | 518,136 | D | |
| Common Stock, par value $0.10 per shareF1 | Aug 27, 2015 | P | 400 | $7.45 | A | 518,536 | D | |
| Common Stock, par value $0.10 per shareF1 | Aug 27, 2015 | P | 400 | $7.46 | A | 518,936 | D | |
| Common Stock, par value $0.10 per share | Aug 28, 2015 | P | 200 | $7.20 | A | 519,136 | D | |
| Common Stock, par value $0.10 per share | Aug 28, 2015 | P | 200 | $7.29 | A | 519,336 | D | |
| Common Stock, par value $0.10 per share | Aug 28, 2015 | P | 300 | $7.34 | A | 519,636 | D | |
| Common Stock, par value $0.10 per share | Aug 28, 2015 | P | 300 | $7.31 | A | 519,936 | D | |
| Common Stock, par value $0.10 per share | Aug 28, 2015 | P | 200 | $7.39 | A | 520,136 | D | |
| Common Stock, par value $0.10 per share | Aug 28, 2015 | P | 300 | $7.32 | A | 520,436 | D | |
| Common Stock, par value $0.10 per shareF1 | Aug 28, 2015 | P | 100 | $7.17 | A | 520,536 | D | |
| Common Stock, par value $0.10 per shareF1 | Aug 28, 2015 | P | 200 | $7.37 | A | 520,736 | D | |
| Common Stock, par value $0.10 per shareF1 | Aug 28, 2015 | P | 200 | $7.25 | A | 520,936 | D | |
| Common Stock, par value $0.10 per shareF1 | Aug 28, 2015 | P | 150 | $7.26 | A | 521,086 | D | |
| Common Stock, par value $0.10 per shareF1 | Aug 28, 2015 | P | 50 | $7.23 | A | 521,136 | D | |
| Common Stock, par value $0.10 per shareF1,F2 | Aug 31, 2015 | P | 500 | $7.17 | A | 521,636 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired by Arterio Inc., a corporation owned solely by Mr. Rothschild.
- F2This figure includes 219,955 shares of common stock held by Arterio Inc., a corporation owned solely by Mr. Rothschild, and 39,555 shares held by the estate of Mr. Rothschild's parents. Mr. Rothschild is the executor of his parents' estate and is a one-third beneficiary of that estate. The distribution of the assets of that estate has not yet been resolved.