Filing Details
- Accession Number:
- 0001181431-13-060957
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-27 20:44:27
- Reporting Period:
- 2013-11-25
- Filing Date:
- 2013-11-27
- Accepted Time:
- 2013-11-27 20:44:27
- 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 |
|---|---|---|---|---|---|---|---|
| 1254951 | Richard Cowell | 23622 Calabasas Road, Suite 300 Calabasas CA 91302 | Yes | No | 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 | 2013-11-25 | 25,000 | $1.30 | 35,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-25 | 25,000 | $3.02 | 10,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-25 | 30,301 | $1.35 | 40,301 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-25 | 30,301 | $3.50 | 10,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-26 | 19,699 | $1.35 | 29,699 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-26 | 19,699 | $3.86 | 10,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-26 | 8,301 | $0.95 | 18,301 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-26 | 8,301 | $3.86 | 10,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2013-11-25 | 25,000 | $0.00 | 25,000 | $1.30 |
| Common Stock | Stock Option (right to buy) | Disposition | 2013-11-25 | 30,301 | $0.00 | 30,301 | $1.35 |
| Common Stock | Stock Option (right to buy) | Disposition | 2013-11-26 | 19,699 | $0.00 | 19,699 | $1.35 |
| Common Stock | Stock Option (right to buy) | Disposition | 2013-11-26 | 8,301 | $0.00 | 8,301 | $0.95 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-11-04 | No | 4 | M | Direct | |
| 19,699 | 2014-06-27 | No | 4 | M | Direct | |
| 0 | 2014-06-27 | No | 4 | M | Direct | |
| 0 | 2016-09-13 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- Fully vested.
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