SEC Form 4 · accession 0000899243-18-022519

CRYO CELL INTERNATIONAL INC · CCEL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Co-Chief Executive Officer · Director

Period of report

Aug 13, 2018

Accepted (ET)

Aug 15, 2018 · 9:59 pm EDT

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 Stock	Aug 13, 2018	P	1,000	$8.30	A	50,150	I	By 401K
Common Stock	Aug 14, 2018	P	1,161	$8.10	A	51,311	I	By 401K
Common Stock	Aug 14, 2018	P	2,000	$8.30	A	53,311	I	By 401K
Common Stock	Aug 15, 2018	P	200	$8.10	A	53,511	I	By 401K
Common Stock^F1	holding	—	—		—	151,224	I	By Corporation
Common Stock	holding	—	—		—	9,122	I	as Cust for Daughter
Common Stock	holding	—	—		—	9,974	I	as Cust for Son
Common Stock	holding	—	—		—	578,333	D
Common Stock	holding	—	—		—	78,864	I	By Spouse
Common Stock^F2	holding	—	—		—	59,027	I	By LLC
Common Stock	holding	—	—		—	199,080	I	By IRA
Common Stock^F3	holding	—	—		—	55,219	I	By Corporation 2

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 Option^F4	$3.14	holding	—	—	—	Apr 15, 2016	Apr 15, 2026	Common Stock	70,270	70,270	D
Stock Option^F5	$7.92	holding	—	—	—	—	Mar 8, 2023	Common Stock	23,636	23,636	D

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 December 1, 2016 and 1/3 December 1, 2017.
F5Stock options will vest 1/3 on date of grant, 1/3 December 1, 2018 and 1/3 on December 1, 2019.