SEC Form 4 · accession 0001181431-15-001273
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
Jan 9, 2015
Accepted (ET)
Jan 21, 2015 · 4:02 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 StockF2 | Jan 9, 2015 | A | 81,082 | $0.00 | A | 243,656 | D | |
| Common Stock | holding | — | — | — | 18,055 | I | By 401K | |
| Common StockF1 | holding | — | — | — | 130,029 | I | By Partnership |
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 | 300,000 | D |
Explanation of responses
- F1Shares 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.
- F2Shares of restricted stock awarded for 2014 performance pursuant to employment agreement executed February 25, 2014.