Filing Details

Accession Number:
0001209191-15-087417
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-12-30 17:30:29
Reporting Period:
2015-12-29
Filing Date:
2015-12-30
Accepted Time:
2015-12-30 17:30:29
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
883975 Stemcells Inc STEM Biological Products, (No Disgnostic Substances) (2836) 943078125
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1461320 Blair Kenneth Stratton C/O Stemcells, Inc.
7707 Gateway Blvd, Ste 140
Newark CA 94560
General Counsel 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 Disposition 2015-12-29 104,549 $0.45 556,525 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 36,081 Indirect By 401(k) Plan
Footnotes
  1. The $0.4512 per share price was the weighted average price of open market sales by Mr. Stratton on 12/29/2015. Actual prices ranged from $0.4411 per share to $0.4699 per share. Mr. Stratton will provide full information about the number of shares sold at each price, upon request by the SEC, the issuer or any security holder of the issuer.
  2. Includes (1) 140,000 restricted stock units, with 70,000 of these vesting on each of May 24, 2016 and May 24, 2017; (2) 32,500 restricted stock units vesting on January 27, 2016; (3) 240,000 restricted stock units, with 80,000 of these vesting on each of January 8, 2016, January 8, 2017 and January 8, 2018; and (4) 80,000 restricted stock units with performance based vesting.
  3. Shares held in 401(k) account, in accordance with issuer's employer-match policies.