SEC Form 4 · accession 0000899243-18-023562
CRYO CELL INTERNATIONAL INC · CCEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Gaines
Director
Period of report
Aug 30, 2018
Accepted (ET)
Aug 30, 2018 · 5:22 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 29, 2018 | M | 20,000 | $2.70 | A | 20,000 | D | |
| Common Stock | holding | — | — | — | 1,050,400 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $2.70 | Aug 30, 2018 | M | 20,000 | D | Aug 30, 2011 | Aug 30, 2021 | Common Stock | 20,000 | 0 | D |
| Stock OptionsF2 | $2.04 | holding | — | — | — | Jul 10, 2012 | Jul 10, 2022 | Common Stock | 7,500 | 7,500 | D |
| Stock OptionsF3 | $1.95 | holding | — | — | — | Jul 19, 2013 | Jul 19, 2023 | Common Stock | 7,500 | 7,500 | D |
| Stock OptionsF4 | $2.40 | holding | — | — | — | Jul 22, 2014 | Jul 22, 2024 | Common Stock | 7,500 | 7,500 | D |
| Stock OptionsF5 | $3.08 | holding | — | — | — | Jul 9, 2015 | Jul 9, 2025 | Common Stock | 7,500 | 7,500 | D |
| Stock OptionsF6 | $3.50 | holding | — | — | — | Jul 6, 2016 | Jul 6, 2026 | Common Stock | 7,500 | 7,500 | D |
| Stock OptionsF7 | $7.00 | holding | — | — | — | Jul 18, 2017 | Jul 18, 2027 | Common Stock | 7,500 | 7,500 | D |
Explanation of responses
- F1Stock options vest at a rate of 1/3 per year commencing on August 30, 2011.
- F2Stock options vest at a rate of 1/12 per month commencing on July 10, 2012.
- F3Stock options vest at a rate of 1/3 per month commencing on July 19, 2013.
- F4Stock options vest at a rate of 1/12 per month commencing on July 22, 2014.
- F5Stock options vest at a rate of 1/12 per month commencing on July 9, 2015.
- F6Stock options vest at a rate of 1/12 per month commencing on July 6, 2016.
- F7Stock options vest at a rate of 1/12 per month commencing on July 18, 2017.