Filing Details
- Accession Number:
- 0001181431-13-054785
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-22 16:24:16
- Reporting Period:
- 2013-10-18
- Filing Date:
- 2013-10-22
- Accepted Time:
- 2013-10-22 16:24:16
- 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 |
|---|---|---|---|---|---|---|---|
| 1550545 | S John Yu | 23622 Calabasas Road, Suite 300 Calabasas CA 91302 | Secretary | Yes | 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 | 2013-10-18 | 231,381 | $0.25 | 241,381 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-18 | 231,381 | $0.00 | 10,000 | No | 4 | G | Direct | |
| Common Stock | Acquisiton | 2013-10-18 | 231,381 | $0.00 | 231,381 | No | 4 | G | Indirect | By Family Trust |
| Common Stock | Disposition | 2013-10-18 | 231,381 | $2.91 | 0 | No | 4 | S | Indirect | By Family Trust |
| Common Stock | Acquisiton | 2013-10-21 | 36,006 | $0.25 | 46,006 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-21 | 36,006 | $0.00 | 10,000 | No | 4 | G | Direct | |
| Common Stock | Acquisiton | 2013-10-21 | 36,006 | $0.00 | 36,006 | No | 4 | G | Indirect | By Family Trust |
| Common Stock | Disposition | 2013-10-21 | 36,006 | $2.92 | 0 | No | 4 | S | Indirect | By Family Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | G | Direct | |
| No | 4 | G | Indirect | By Family Trust |
| No | 4 | S | Indirect | By Family Trust |
| No | 4 | M | Direct | |
| No | 4 | G | Direct | |
| No | 4 | G | Indirect | By Family Trust |
| No | 4 | S | Indirect | By Family Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2013-10-18 | 231,381 | $0.00 | 231,381 | $0.25 |
| Common Stock | Stock Option (right to buy) | Disposition | 2013-10-21 | 36,006 | $0.00 | 36,006 | $0.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 68,619 | 2014-02-25 | No | 4 | M | Direct | |
| 32,613 | 2014-02-25 | No | 4 | M | Direct |
Footnotes
- These shares are being transferred to the reporting person's Family Trust.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- The price reported is an average price. The prices ranged from $2.9000 to $2.9500 per share. Full information regarding the number of shares sold at each separate price within the range set forth in this footnote is available upon request by the SEC, the issuer or a security holder of the issuer.
- The price reported is an average price. The prices ranged from $2.9000 to $2.9800 per share. Full information regarding the number of shares sold at each separate price within the range set forth in this footnote is available upon request by the SEC, the issuer or a security holder of the issuer.
- Fully vested.
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