Filing Details

Accession Number:
0001354488-16-005954
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-01-21 21:10:27
Reporting Period:
2016-01-19
Filing Date:
2016-01-21
Accepted Time:
2016-01-21 21:10:27
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1378624 Cellular Biomedicine Group Inc. CBMG Biological Products, (No Disgnostic Substances) (2836) 861032927
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1569877 K Andrew Chan 19925 Stevens Creek Blvd., Suite 100
Cupertino CA 95014
No No No Yes
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 2016-01-19 1,516 $5.61 147,273 No 4 M Direct
Common Stock Disposition 2016-01-19 1,516 $12.07 145,757 No 4 S Direct
Common Stock Acquisiton 2016-01-21 1,296 $3.00 147,053 No 4 M Direct
Common Stock Disposition 2016-01-21 1,296 $13.87 145,747 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non- Qualified Stock Option (right to buy) (2013 Plan) Disposition 2016-01-19 1,516 $0.00 1,516 $5.61
Common Stock Non- Qualified Stock Option (right to buy) (2011 Plan) Disposition 2016-01-21 1,296 $0.00 1,296 $3.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
39,420 2023-05-16 No 4 M Direct
40,187 2023-02-20 No 4 M Direct
Footnotes
  1. The transaction reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 25, 2015. Accordingly, the reporting person had no discretion with regard to the timing of the transaction.
  2. On December 22, 2015, due to miscommunications with regard to the nature of transactions undertaken by the reporting person in September 2015, the reporting person mistakenly reported the number of shares of common stock and derivative securities of the issuer owned by him after certain transactions undertaken in December 2015. As a result, the number of outstanding securities owned by the reporting person after each transaction as reported on this form reflects corrections of the reporting errors made in December 2015.
  3. The option vested according to the following schedule: 1/31st per month following the vesting commencement date of May 16, 2014.
  4. The option vested according to the following schedule: 1/36th per month following the vesting commencement date of February 20, 2013.