Mark Portnoy - Apr 8, 2022 Form 4/A - Amendment Insider Report for CRYO CELL INTERNATIONAL INC (CCEL)

Role
Co-CEO, Director, 10%+ Owner
Signature
/s/ Mark Portnoy
Stock symbol
CCEL
Transactions as of
Apr 8, 2022
Transactions value $
$0
Form type
4/A - Amendment
Date filed
4/14/2022, 04:00 PM
Date Of Original Report
Dec 22, 2022
Previous filing
Feb 8, 2022
Next filing
Aug 29, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CCEL Common Stock 42.3K Apr 8, 2022 By 401K
holding CCEL Common Stock 71.5K Apr 8, 2022 By Partnership F1
holding CCEL Common Stock 763K Apr 8, 2022 Direct

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 Disposed to Issuer -$270K -20K -100% $13.50 0 Dec 22, 2021 Common Stock 20K $13.50 Direct
transaction CCEL Stock Option Disposed to Issuer -$1.23M -100K -100% $12.27 0 Dec 22, 2021 Common Stock 100K $12.27 Direct F3
transaction CCEL Stock Option Award $270K +20K $13.50 20K Apr 8, 2022 Common Stock 20K $13.50 Direct F4, F5
transaction CCEL Stock Option Award $1.23M +100K $12.27 100K Apr 8, 2022 Common Stock 100K $12.27 Direct F4, F6
holding CCEL Stock Option 59.5K Apr 8, 2022 Common Stock 59.5K $3.14 Direct
holding CCEL Stock Option 20K Apr 8, 2022 Common Stock 20K $7.92 Direct
holding CCEL Stock Option 22.2K Apr 8, 2022 Common Stock 22.2K $7.53 Direct
holding CCEL Stock Option 20K Apr 8, 2022 Common Stock 20K $7.28 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares 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.
F2 Stock options will vest 1/3 on the date of grant, 1/3 on December 1, 2020 and 1/3 on December 1, 2021.
F3 On April 8, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer.
F4 The stock options are subject to the approval of the 2022 Equity Incentive Plan, which vote is expected to occur at the Company's 2022 Annual Meeting.
F5 One-third of the stock options will vest on December 22, 2022, one-third will vest on January 22, 2023 and one-third on January 22, 2024.
F6 Stock options vest immediately when the price of the Company's stock reaches $25.00 per share during the seven-year option term.