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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CRYO CELL INTERNATIONAL INC 700 BROOKER CREEK BLVD., SUITE 1800 OLDSMAR, FL 34677 |
X | |||
PORTNOY DAVID 700 BROOKER CREEK BLVD., SUITE 1800 OLDSMAR, FL 34677 |
X | |||
Portnoy Mark L. 700 BROOKER CREEK BLVD. ST. 1800 OLDSMAR, FL 34677 |
X | |||
Gaines George 700 BROOKER CREEK BLVD., SUITE 1800 OLDSMAR, FL 34677 |
X |
/s/ David Portnoy, Individual, and Chief Executive Officer and Authorized Representative of Cryo- Cell, International, Inc. | 08/17/2018 | |
**Signature of Reporting Person | Date | |
/s/ David Portnoy | 08/17/2018 | |
**Signature of Reporting Person | Date | |
/s/ Mark Portnoy | 08/17/2018 | |
**Signature of Reporting Person | Date | |
/s/ George Gaines | 08/17/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares owned solely by CRYO-CELL International, Inc. |
(2) | Shares owned solely by David I. Portnoy. |
(3) | Shares owned solely by Mark L. Portnoy. |
(4) | Shares owned solely by George Gaines. |
(5) | Messrs. Portnoy, Portnoy and Gaines, along with CRYO-CELL International, Inc. are deemed to be members of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended. |