Filing Details
- Accession Number:
- 0001683168-18-002939
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-03 16:45:24
- Reporting Period:
- 2018-10-02
- Accepted Time:
- 2018-10-03 16:45:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1355790 | International Stem Cell Corp | ISCO.OB | Pharmaceutical Preparations (2834) | 204494098 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1616590 | Sophia Garnette | C/O International Stem Cell Corporation 5950 Priestly Drive Carlsbad CA 92008 | Vp, Legal Affairs & Operation | 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 | Acquisiton | 2018-10-02 | 1,494 | $1.10 | 1,761 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-10-02 | 1,494 | $1.58 | 267 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2018-10-02 | 1,494 | $0.00 | 49,352 | $1.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 47,858 | 2027-05-31 | No | 4 | M | Direct |
Footnotes
- The reported shares were sold in open market transactions through a broker-dealer at $1.58 per share.
- The option, representing a total of 60,000 shares, became exercisable "vested" in installments. 3/36th of the shares underlying such options vested on August 31, 2017, and the remaining shares in equal monthly installments over a period of 33 months.
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