Filing Details
- Accession Number:
- 0001181431-13-047124
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-30 18:26:08
- Reporting Period:
- 2013-08-28
- Filing Date:
- 2013-08-30
- Accepted Time:
- 2013-08-30 18:26:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 822411 | Immunocellular Therapeutics Ltd. | IMUC | Pharmaceutical Preparations (2834) | 931301885 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1550455 | G. James Bender | 23622 Calabasas Road, Suite 300 Calabasas CA 91302 | Vp, Product Development & Mfg. | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-08-28 | 20,000 | $0.95 | 20,679 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-28 | 6,376 | $2.98 | 14,303 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2013-08-28 | 5,000 | $2.84 | 9,303 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-08-28 | 3,303 | $2.85 | 6,000 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-08-28 | 5,000 | $2.88 | 1,000 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-08-29 | 900 | $3.00 | 100 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2013-08-28 | 20,000 | $0.00 | 20,000 | $0.95 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-08-31 | No | 4 | M | Direct |
Footnotes
- Reflects 6,376 shares withheld by the Issuer at the market price of $2.98 per share less an exercise price of $0.95 per share to fund the cashless exercise of 20,000 options.
- The option vested in equal monthly installments of 3,000 shares monthly for five months following September 1, 2009, and as to 5,000 shares pursuant to achievement of a certain milestone.
Billionaire Hedge Funds
