SEC Form 4 · accession 0000899243-17-004223
CRYO CELL INTERNATIONAL INC · CCEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Portnoy
Officer — Co-Chief Executive Officer · Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 15, 2017 · 5:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000862692
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF5 | Jan 31, 2017 | A | 183,145 | $0.00 | A | 488,532 | D | |
| Common StockF1 | holding | — | — | — | 151,224 | I | By Corporation | |
| Common Stock | holding | — | — | — | 49,150 | I | By 401K | |
| Common Stock | holding | — | — | — | 9,122 | I | As Cust for Daughter | |
| Common Stock | holding | — | — | — | 9,974 | I | As Cust for Son | |
| Common Stock | holding | — | — | — | 78,864 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 78,176 | I | By LLC | |
| Common Stock | holding | — | — | — | 199,080 | I | By IRA | |
| Common StockF3 | holding | — | — | — | 55,219 | I | By Corporation 2 | |
| Common Stock | holding | — | — | — | 17,000 | I | By Father-in-law |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $1.72 | holding | — | — | — | Dec 1, 2011 | Dec 1, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock Option | $2.90 | holding | — | — | — | Aug 31, 2011 | Aug 31, 2021 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF4 | $3.14 | holding | — | — | — | Apr 15, 2016 | Apr 15, 2026 | Common Stock | 70,270 | 70,270 | D |
Explanation of responses
- F1Share of Common Stock held by Partner Community, as to which David I. Portnoy may be deemed the beneficial owner as the Chairman of the Board and Secretary and as the managing member of Mayim Management, LLC, which may exercise investment and voting discretion over such shares of Common Stock in accordance with the Investment Advisory Agreement.
- F2Share of Common Stock held by Mayim Investment Limited Partnership, as to David I. Portnoy may be deemed the beneficial owner as the managing member and owner Mayim Management, LLC, which is the general partner of Mayim Management Limited Partnership, which is the general partner of Mayim Investment Limited Partnership.
- F3Share of Common Stock held by uTIPu, Inc, as to which David I. Portnoy may be deemed the beneficial owner as the Chairman of the Board and Secretary.
- F4Stock options vest 1/3 on date of grant, 1/3 on December 1, 2016 and 1/3 December 1, 2017.
- F5Share of restricted stock awarded for 2016 performance pursuant to employment executed April 15, 2016.