SEC Form 4 · accession 0001547522-15-000158
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
Sep 1, 2015
Accepted (ET)
Sep 3, 2015 · 1:32 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 | Sep 1, 2015 | P | 200 | $6.73 | A | 521,836 | D | |
| Common Stock, par value $0.10 per shareF1 | Sep 1, 2015 | P | 200 | $6.74 | A | 522,036 | D | |
| Common Stock, par value $0.10 per shareF1 | Sep 1, 2015 | P | 100 | $6.70 | A | 522,136 | D | |
| Common Stock, par value $0.10 per share | Sep 2, 2015 | P | 200 | $6.77 | A | 522,336 | D | |
| Common Stock, par value $0.10 per share | Sep 2, 2015 | P | 200 | $6.48 | A | 522,536 | D | |
| Common Stock, par value $0.10 per share | Sep 2, 2015 | P | 200 | $6.60 | A | 522,736 | D | |
| Common Stock, par value $0.10 per share | Sep 2, 2015 | P | 300 | $6.65 | A | 523,036 | D | |
| Common Stock, par value $0.10 per shareF1 | Sep 2, 2015 | P | 500 | $6.50 | A | 523,536 | D | |
| Common Stock, par value $0.10 per shareF1 | Sep 2, 2015 | P | 200 | $6.53 | A | 523,736 | D | |
| Common Stock, par value $0.10 per shareF1 | Sep 2, 2015 | P | 500 | $6.58 | A | 524,236 | D | |
| Common Stock, par value $0.10 per shareF1 | Sep 2, 2015 | P | 200 | $6.77 | A | 524,436 | D | |
| Common Stock, par value $0.10 per shareF2 | Sep 3, 2015 | P | 200 | $6.76 | A | 524,636 | 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 221,655 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.