David Portnoy - 24 Aug 2021 Form 4 Insider Report for CRYO CELL INTERNATIONAL INC (CCEL)

Role
Chairman, Co-CEO, Director
Signature
/s/ David Portnoy
Issuer symbol
CCEL
Transactions as of
24 Aug 2021
Net transactions value
-$267,750
Form type
4
Filing time
26 Aug 2021, 17:05:13 UTC
Previous filing
26 Jul 2021
Next filing
08 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CCEL Common Stock Options Exercise $196,666 +67,816 +9.1% $2.90 815,972 24 Aug 2021 Direct
transaction CCEL Common Stock Tax liability $267,750 -25,500 -3.1% $10.50 790,472 24 Aug 2021 Direct F1
holding CCEL Common Stock 102,586 24 Aug 2021 By Spouse
holding CCEL Common Stock 98,162 24 Aug 2021 By 401K
holding CCEL Common Stock 152,882 24 Aug 2021 By Corporation F2
holding CCEL Common Stock 15,611 24 Aug 2021 as Custodian for Daughter
holding CCEL Common Stock 9,974 24 Aug 2021 As Custodian for Son F3
holding CCEL Common Stock 59,027 24 Aug 2021 By LLC
holding CCEL Common Stock 199,080 24 Aug 2021 By IRA
holding CCEL Common Stock 55,219 24 Aug 2021 By Corporation
holding CCEL Common Stock 11,352 24 Aug 2021 As Custodian for Son
holding CCEL Common Stock 11,242 24 Aug 2021 As Custodian for Son
holding CCEL Common Stock 10,783 24 Aug 2021 As Custodian for Son
holding CCEL Common Stock 9,122 24 Aug 2021 As Custodian for Daughter

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CCEL Stock Option Options Exercise $196,666 -67,816 -100% $2.90 0 24 Aug 2021 Common Stock 67,816 $2.90 Direct
holding CCEL Stock Option 70,270 24 Aug 2021 Common Stock 70,270 $3.14 Direct
holding CCEL Stock Option 23,636 24 Aug 2021 Common Stock 23,636 $7.92 Direct
holding CCEL Stock Option 26,243 24 Aug 2021 Common Stock 26,243 $7.53 Direct
holding CCEL Stock Option 23,636 24 Aug 2021 Common Stock 23,636 $7.28 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares of common stock were withheld by the Company as payment for the exercise price of the common stock and associated tax liabilities.
F2 Shares of Common Stock held by Mayim Investment Limited Partnership as is David I. Portnoy my be deemed the beneficial owner as the managing member and owner of Mayim Management, LLC, which is the general partner of Mayim Management Limited Partnership, which is the general partner of Mayim Investment Limited Partnership.
F3 Shares 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 will vest 1/3 on the date of grant, 1/3 on December 1, 2020 and 1/3 on December 1, 2021.