SEC Form 4 · accession 0001209191-16-108471
ImmunoCellular Therapeutics, Ltd. · IMUC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Fractor
Officer — VP of Finance
Period of report
Mar 11, 2016
Accepted (ET)
Mar 15, 2016 · 3:59 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 | Mar 11, 2016 | A | 35,000 | $0.00 | A | 70,000 | D | |
| Common Stock | holding | — | — | — | 41,667 | I | By 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)F2 | $0.33 | Mar 11, 2016 | A | 100,000 | A | — | Mar 10, 2026 | Common Stock | 100,000 | 100,000 | 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 shall vest in full on the second anniversary of the grant date.
- F2Option shares shall vest in a series of 48 equal consecutive monthly installments commencing on April 11, 2016 until fully vested.