SEC Form 4 · accession 0000899243-17-029724
CRYO CELL INTERNATIONAL INC · CCEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark L. Portnoy
Officer — Co-Chief Executive Officer · Director
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 4:00 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 StockF1 | Dec 27, 2017 | S | 6,500 | $9.36 | D | 95,529 | I | by partnership |
| Common StockF1 | Dec 28, 2017 | S | 4,000 | $9.36 | D | 91,529 | I | by partnership |
| Common Stock | holding | — | — | — | 521,576 | D | ||
| Common Stock | holding | — | — | — | 18,055 | I | by 401K |
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 OptionF2 | $3.14 | holding | — | — | — | Apr 15, 2016 | Apr 15, 2026 | Common Stock | 59,459 | 59,459 | D |
Explanation of responses
- F1Share of Common Stock held by Capital Asset Fund # 1 Limited Partnership, as to which Mark L. Portnoy may be deemed the beneficial owner as its general partner.
- F2Stock options vest 1/3 on date of grant, 1/3 on December 1, 2016 and 1/3 on December 1, 2017.