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

Role
Chairman, Co-CEO, Director
Signature
/s/ David Portnoy
Stock symbol
CCEL
Transactions as of
Aug 24, 2021
Transactions value $
-$267,750
Form type
4
Date filed
8/26/2021, 05:05 PM
Previous filing
Jul 26, 2021
Next filing
Feb 8, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CCEL Common Stock Options Exercise $197K +67.8K +9.06% $2.90 816K Aug 24, 2021 Direct
transaction CCEL Common Stock Tax liability -$268K -25.5K -3.13% $10.50 790K Aug 24, 2021 Direct F1
holding CCEL Common Stock 103K Aug 24, 2021 By Spouse
holding CCEL Common Stock 98.2K Aug 24, 2021 By 401K
holding CCEL Common Stock 153K Aug 24, 2021 By Corporation F2
holding CCEL Common Stock 15.6K Aug 24, 2021 as Custodian for Daughter
holding CCEL Common Stock 9.97K Aug 24, 2021 As Custodian for Son F3
holding CCEL Common Stock 59K Aug 24, 2021 By LLC
holding CCEL Common Stock 199K Aug 24, 2021 By IRA
holding CCEL Common Stock 55.2K Aug 24, 2021 By Corporation
holding CCEL Common Stock 11.4K Aug 24, 2021 As Custodian for Son
holding CCEL Common Stock 11.2K Aug 24, 2021 As Custodian for Son
holding CCEL Common Stock 10.8K Aug 24, 2021 As Custodian for Son
holding CCEL Common Stock 9.12K Aug 24, 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 -$197K -67.8K -100% $2.90 0 Aug 24, 2021 Common Stock 67.8K $2.90 Direct
holding CCEL Stock Option 70.3K Aug 24, 2021 Common Stock 70.3K $3.14 Direct
holding CCEL Stock Option 23.6K Aug 24, 2021 Common Stock 23.6K $7.92 Direct
holding CCEL Stock Option 26.2K Aug 24, 2021 Common Stock 26.2K $7.53 Direct
holding CCEL Stock Option 23.6K Aug 24, 2021 Common Stock 23.6K $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.