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Filing Details

Accession Number:: 0001209191-16-114635
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2016-04-18 20:53:17
Reporting Period:: 2016-03-14

Filing Date:: 2016-04-18
Accepted Time:: 2016-04-18 20:53:17
Original Submission Date:: 2016-03-21
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
1239011	T Gregory Schiffman	7707 Gateway Blvd Newark CA 94560	Chief Financial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-03-14	166,000	$0.30	1,599,717	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Warrants (right to buy)	Acquisiton	2016-03-14	83,000	$0.00	83,000	$0.30
Common Stock	Series B Warrants (right to buy)	Acquisiton	2016-03-14	124,500	$0.00	124,500	$0.42

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
83,000	2016-03-14	2018-03-14	No	4	P	Direct
207,500	2017-03-14	2022-03-14	No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	21,597	Indirect	By 401(k) plan

Footnotes

Represents common shares purchased by the reporting person in an underwritten public offering by the issuer, in which investors acquired a fixed ratio of common stock at a purchase price of $0.2999998 per share, Series A common stock warrants at a purchase price of $0.0000001 per Series A warrant, and Series B common stock warrants at a purchase price of $0.0000001 per Series B warrant.
Includes (1) 175,000 restricted stock units, with 87,500 of these vesting on each of January 1, 2017 and January 1, 2018; and (2) 118,666 restricted stock units, with 59,333 of these vesting on each of January 8, 2017 and January 8, 2018; and (3) 970,000 restricted stock units with performance based vesting.
Shares held in 401(k) account in accordance with issuer's employer-match policies.
Represents warrants purchased by the reporting person in an underwritten public offering by the issuer, in which investors acquired a fixed ratio of common stock at a purchase price of $0.2999998 per share, Series A common stock warrants at a purchase price of $0.0000001 per Series A warrant, and Series B common stock warrants at a purchase price of $0.0000001 per Series B warrant.
The Series B Warrants issued in the issuer's underwritten public offering on March 14, 2016 will become exercisable upon the later of (i) issuer's receipt of stockholder approval to effect a reverse stock split so as to permit the exercise in full of the outstanding Series B Warrants and (ii) 12 months from the date of issuance, and will expire five years from the date on which such Series B Warrants become exercisable.