SEC Form 4 · accession 0000899243-15-005203
ImmunoCellular Therapeutics, Ltd. · IMUC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Titus
Director
Period of report
Sep 18, 2015
Accepted (ET)
Sep 22, 2015 · 4:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000822411
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 18, 2015 | A | 10,000 | $0.00 | A | 28,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2 | $0.00 | Sep 18, 2015 | A | 10,000 | A | — | Sep 18, 2019 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Reflects the receipt of a restricted stock unit. Each restricted stock unit represents a contingent right to receive one (1) share of Immunocellular Therapeutics, Ltd. common stock. The restricted stock unit are fully vested as of the grant date.
- F2Reflects the receipt of a restricted stock unit. Each restricted stock unit represents a contingent right to receive one (1) share of ImmunoCellular Therapeutics, Ltd. common stock. During the period from September 18, 2015 to September 18, 2019, the restricted stock unit may vest and become immediately exercisable if the average daily closing price of ImmunoCellular Therapeutics, Ltd. common stock on the NYSE MKT during any five (5) consecutive trading day period exceeds a closing $1.50 weighted average bid and ask price per share (as adjusted for any stock splits and the like).