Statement of Changes in Beneficial Ownership (4)
January 20 2021 - 4:32PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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PORTNOY DAVID |
2. Issuer Name and Ticker or Trading Symbol
CRYO CELL INTERNATIONAL INC
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CCEL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman, Co-CEO |
(Last)
(First)
(Middle)
700 BROOKER CREEK BLVD, SUITE 1800 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/15/2021 |
(Street)
OLDSMAR, FL 34677
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | | | | | | | | 91790 | I | By Spouse |
Common Stock | | | | | | | | 94426 | I | By 401K |
Common Stock | 1/15/2021 | | P | | 3000 | A | $7.80 | 497772 | D | |
Common Stock | 1/19/2021 | | P | | 2000 | A | $8.20 | 499772 | D | |
Common Stock | 1/19/2021 | | P | | 2000 | A | $8.00 | 501772 | D | |
Common Stock | 1/20/2021 | | P | | 2000 | A | $8.18 | 503772 | D | |
Common Stock | 1/20/2021 | | P | | 2000 | A | $8.15 | 505772 | D | |
Common Stock | | | | | | | | 152724 | I | By Corporation (1) |
Common Stock | | | | | | | | 15061 | I | as Custodian for Daughter |
Common Stock | | | | | | | | 9974 | I | As Custodian for Son (2) |
Common Stock | | | | | | | | 59027 | I | By LLC |
Common Stock | | | | | | | | 199080 | I | By IRA |
Common Stock | | | | | | | | 55219 | I | By Corporation |
Common Stock | | | | | | | | 10783 | I | As Custodian for Son |
Common Stock | | | | | | | | 10783 | I | As Custodian for Son |
Common Stock | | | | | | | | 10783 | I | As Custodian for Son |
Common Stock | | | | | | | | 9122 | I | As Custodian for Daughter |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | $1.72 | | | | | | | 12/1/2011 | 12/1/2021 | Common Stock | 200000 | | 200000 | D | |
Stock Option | $2.90 | | | | | | | 8/31/2011 | 8/31/2021 | Common Stock | 100000 | | 100000 | D | |
Stock Option | $3.14 | | | | | | | 4/15/2016 (3) | 4/15/2026 | Common Stock | 70270 | | 70270 | D | |
Stock Option | $7.92 | | | | | | | 3/8/2013 (4) | 3/8/2023 | Common Stock | 23636 | | 23636 | D | |
Stock Option | $7.53 | | | | | | | 8/30/2019 (5) | 8/30/2029 | Common Stock | 26243 | | 26243 | D | |
Stock Option | $7.28 | | | | | | | 12/20/2019 (6) | 12/20/2029 | Common Stock | 23636 | | 23636 | D | |
Explanation of Responses: |
(1) | 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. |
(2) | 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. |
(3) | Stock options vest 1/3 on the date of grant, 1/3 on December 1, 2016 and 1/3 on December 1, 2017. |
(4) | Stock Options will vest 1/3 on the date of grant, 1/3 on December 1, 2018 and 1/3 on December 1, 2019. |
(5) | Stock options will vest 1/3 on the date of grant, 1/3 on December 1, 2019 and 1/3 on December 1, 2020. |
(6) | Stock options will vest 1/3 on the date of grant, 1/3 on December 1, 2020 and 1/3 on December 1, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
PORTNOY DAVID 700 BROOKER CREEK BLVD SUITE 1800 OLDSMAR, FL 34677 | X |
| Chairman, Co-CEO |
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Signatures
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/s/ David Portnoy | | 1/20/2021 |
**Signature of Reporting Person | Date |