AI assistant
CRYO CELL INTERNATIONAL INC — Director's Dealing 2018
Feb 23, 2018
34715_dirs_2018-02-23_5a9a4db3-895c-4724-9b80-55449626b127.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CRYO CELL INTERNATIONAL INC (CCEL)
CIK: 0000862692
Period of Report: 2018-02-21
Reporting Person: PORTNOY DAVID (Director, Co-Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-02-21 | Common Stock | J | 19149 | $0.00 | Disposed | 59027 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 151224 | Indirect |
| Common Stock | 49150 | Indirect |
| Common Stock | 9122 | Indirect |
| Common Stock | 9974 | Indirect |
| Common Stock | 486532 | Direct |
| Common Stock | 78864 | Indirect |
| Common Stock | 199080 | Indirect |
| Common Stock | 55219 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option | $1.72 | 2021-12-01 | Common Stock (200000) | 200000 | Direct |
| Stock Option | $2.90 | 2021-08-31 | Common Stock (100000) | 100000 | Direct |
| Stock Option | $3.14 | 2026-04-15 | Common Stock (70270) | 70270 | Direct |
Footnotes
F1: Share 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.
F2: Share 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.
F3: Share 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.
F4: Stock options vest 1/3 on date of grant, 1/3 on December 1, 2016 and 1/3 December 1, 2017.
F5: Transfer of shares held by Mayim Investment Limited Partnership to partner. David Portnoy no longer beneficial owner of these shares.