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

Role
Chairman, Co-CEO, Director, 10%+ Owner
Signature
/s/ David 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, 2021
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 103K Apr 8, 2022 By Spouse
holding CCEL Common Stock 98.2K Apr 8, 2022 By 401K
holding CCEL Common Stock 790K Apr 8, 2022 Direct
holding CCEL Common Stock 153K Apr 8, 2022 By Corporation F1
holding CCEL Common Stock 15.6K Apr 8, 2022 As Custodian for Daughter
holding CCEL Common Stock 9.97K Apr 8, 2022 As Custodian for Son
holding CCEL Common Stock 59K Apr 8, 2022 By LLC F2
holding CCEL Common Stock 199K Apr 8, 2022 By IRA
holding CCEL Common Stock 55.2K Apr 8, 2022 By Corporation F3
holding CCEL Common Stock 11.4K Apr 8, 2022 As Custodian for Son
holding CCEL Common Stock 11.2K Apr 8, 2022 As Custodian for Son
holding CCEL Common Stock 10.8K Apr 8, 2022 As Custodian for Son
holding CCEL Common Stock 9.12K Apr 8, 2022 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 Disposed to Issuer -$330K -24.4K -100% $13.50 0 Dec 22, 2021 Common Stock 24.4K $13.50 Direct F4
transaction CCEL Stock Option Disposed to Issuer -$6.79K -553 -100% $12.27 0 Dec 22, 2021 Common Stock 553 $12.27 Direct F4
transaction CCEL Stock Option Disposed to Issuer -$3.44M -280K -100% $12.27 0 Dec 22, 2021 Common Stock 280K $12.27 Direct F4
transaction CCEL Stock Option Award $330K +24.4K $13.50 24.4K Apr 8, 2022 Common Stock 24.4K $13.50 Direct F5, F6
transaction CCEL Stock Option Award $6.79K +553 $12.27 553 Apr 8, 2022 Common Stock 553 $12.27 Direct F5, F6
transaction CCEL Stock Option Award $3.44M +280K $12.27 280K Apr 8, 2022 Common Stock 280K $12.27 Direct F5, F7
holding CCEL Stock Option 70.3K Apr 8, 2022 Common Stock 70.3K $3.14 Direct
holding CCEL Stock Option 23.6K Apr 8, 2022 Common Stock 23.6K $7.92 Direct
holding CCEL Stock Option 26.2K Apr 8, 2022 Common Stock 26.2K $7.53 Direct
holding CCEL Stock Option 23.6K Apr 8, 2022 Common Stock 23.6K $7.28 Direct
* 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 Mayim Investment Limited Partnership as is David I. Portnoy may 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.
F2 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.
F3 Shares of Common Stock held by Partner Community, as to which David I. Portnoy may be deemed 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.
F4 On April 8, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer.
F5 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.
F6 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.
F7 Stock options vest immediately when the price of the Company's stock reaches $25.00 per share during the seven-year option term.