SEC Form 4 · accession 0001547522-15-000180
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
Nov 11, 2015
Accepted (ET)
Nov 13, 2015 · 12:48 pm EST
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 shareF1,F2 | Nov 11, 2015 | P$0 | 24,000 | $0.00 | D | 500,636 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These 24,000 shares were distributed from the estate of Mr. Rothschild's parents to the two sisters of Mr. Rothschild, as to which Mr. Rothschild disclaims beneficial ownership. Mr. Rothschild is the executor of his parents' estate and now owns 19,255 shares from the estate directly, which are included in the 500,636 shares disclosed above in Table I, Column 5.
- F2This figure includes 221,655 shares of common stock held by Arterio Inc., a corporation owned solely by Mr. Rothschild.