SEC Form 4 · accession 0001209191-15-072696
ImmunoCellular Therapeutics, Ltd. · IMUC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John S Yu
Director
Period of report
Sep 28, 2015
Accepted (ET)
Oct 1, 2015 · 2:12 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 Stock | Sep 28, 2015 | M | 25,000 | $0.27 | A | 35,000 | D | |
| Common StockF1 | Sep 28, 2015 | F | 14,674 | $0.46 | D | 20,326 | D | |
| Common Stock | Sep 28, 2015 | G | 10,326 | $0.00 | D | 10,000 | D | |
| Common Stock | Sep 28, 2015 | G | 10,326 | $0.00 | A | 10,326 | I | By Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $0.27 | Sep 28, 2015 | M | 25,000 | D | — | Sep 28, 2015 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1Reflects 14,674 shares withheld by the Issuer at the market price of $0.46 per share less an exercise price of $0.27 per share to fund the cashless exercise of 10,326 shares
- F2These shares are being transferred to the reporting person's Family Trust.
- F3Fully vested.