SEC Form 4 · accession 0001209191-17-009955
ImmunoCellular Therapeutics, Ltd. · IMUC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Gengos
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 13, 2017 · 4:04 pm EST
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 StockF2 | Dec 31, 2016 | F | 3,284 | $2.05 | D | 5,249 | D | |
| Common StockF2 | holding | — | — | — | 1,175 | I | By 401(k) Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld by the Issuer to satisfy the mandatory tax withholding requirement upon vesting of restricted stock units. This is not an open market sale of securities.
- F2On November 18, 2016, ImmunoCellular Therapeutics, Ltd. effected a 1 for 40 reverse stock split. The number of shares reported in Column 6 of Table I represents the reporting person's resulting ownership interest on a post 1 for 40 reverse stock split basis.