Home > Insider Trading > Filing (0001654954-20-001538)

Filing Details

Accession Number:: 0001654954-20-001538
Form Type:: 5
Zero Holdings:: No
Publication Time:: 2020-02-13 17:20:20
Reporting Period:: 2019-12-31

Accepted Time:: 2020-02-13 17:20:20
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
1569983	Tony Liu	1345 Avenue Of The Americas, Fl. 15 New York NY 10105	Ceo, Cfo	No	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2019-01-25	875	$17.69	255,392	No	4	S	Direct
Common Stock	Disposition	2019-02-27	875	$18.06	254,517	No	4	S	Direct
Common Stock	Disposition	2019-03-27	875	$16.80	253,642	No	4	S	Direct
Common Stock	Disposition	2019-04-29	875	$16.89	252,767	No	4	S	Direct
Common Stock	Disposition	2019-05-28	875	$16.94	251,892	No	4	S	Direct
Common Stock	Disposition	2019-06-27	875	$14.94	251,017	No	4	S	Direct
Common Stock	Disposition	2019-07-29	875	$13.70	250,142	No	4	S	Direct
Common Stock	Disposition	2019-08-27	875	$11.47	249,267	No	4	S	Direct
Common Stock	Disposition	2019-09-27	875	$14.68	248,392	No	4	S	Direct
Common Stock	Disposition	2019-10-28	875	$15.08	247,517	No	4	S	Direct

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

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (Right to Buy)	Acquisiton	2015-04-06	30,000	$0.00	30,000	$35.53
Common Stock	Employee Stock Option (Right to Buy)	Acquisiton	2016-01-23	13,000	$0.00	13,000	$40.00
Common Stock	Employee Stock Option (Right to Buy)	Acquisiton	2016-04-11	40,000	$0.00	40,000	$20.00
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2017-05-14	13,000	$0.00	13,000	$40.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
30,000	2025-04-06	No	4	A	Direct
13,000	2026-01-23	No	4	A	Direct
40,000	2026-04-11	No	4	A	Direct
0	2026-01-23	No	4	J	Direct

Reported Derivative Holdings

Show Other Fields >>

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Employee Stock Option (Right to Buy)	$7.23		2023-03-05	5,300	5,300	Direct
Common Stock	Employee Stock Option (Right to Buy)	$5.00		2024-01-03	255,000	255,000	Direct
Common Stock	Employee Stock Option (Right to Buy)	$20.63		2021-07-23	15,000	15,000	Direct
Common Stock	Employee Stock Option (Right to Buy)	$20.63		2021-08-14	15,000	15,000	Direct
Common Stock	Employee Stock Option (Right to Buy)	$15.53		2021-12-31	105,800	105,800	Direct
Common Stock	Employee Stock Option (Right to Buy)	$12.55	2017-01-21	2027-01-21	30,000	30,000	Direct
Common Stock	Employee Stock Option (Right to Buy)	$12.40		2027-03-03	120,000	120,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2023-03-05	5,300	5,300	Direct
2024-01-03	255,000	255,000	Direct
2021-07-23	15,000	15,000	Direct
2021-08-14	15,000	15,000	Direct
2021-12-31	105,800	105,800	Direct
2027-01-21	30,000	30,000	Direct
2027-03-03	120,000	120,000	Direct

Footnotes

As previously reported on the Reporting Person's Form 4 filed on April 3, 2017, on March 27, 2017, the Reporting Person was granted 120,000 restricted stock units ("RSUs") (Grant No. LTIP RSU G1) under the Cellular Biomedicine Group, Inc. 2014 Stock Incentive Plan (the "Plan"), which RSUs vest according to the following schedule: 1/48th per month, with the first installment vested on March 27, 2017.
On January 25, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $17.69. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
On February 27, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $18.06. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
On March 27, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $16.80. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
On April 29, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $16.89. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
On May 28, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $16.94. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
On June 27, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $14.94. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
On July 29, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $13.70. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
On August 27, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $11.47. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
On September 27, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $14.68. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
On October 28, 2019, upon vesting of his RSUs, the Reporting Person sold an aggregate of 875 shares of common stock at a per share price of $15.08. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
Due to administrative errors, the Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year was inaccurately reported in Column 5 of Table I of the Reporting Person's Form 5 filed on February 14, 2019 (the "2019 Form 5") and prior Section 16 reports. As a result, the Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year in Column 5 of Table I of this form does not correspond with the number reported in the 2019 Form 5. This form corrects the prior reporting and rounding errors made in Column 5 of Table I of the Reporting Person's prior Section 16 reports.
In the Reporting Person's prior Section 16 reports, employee stock options were referred to using various differing titles. For convenience, in the Reporting Person's future Section 16 reports, all employee stock options to buy common stock will be referred to using the title "Employee Stock Option (Right to Buy)." The nature and economic terms of the re titled employee stock options remain unchanged.
These derivatives securities were cancelled on May 14, 2017 and the Reporting Person received no value in connection with this cancellation.
As previously reported on the Issuer's Form DEF 14A Definitive Proxy Statement filed on July 29, 2016, on April 6, 2015, the Reporting Person was granted an employee stock option to purchase up to 30,000 shares of common stock, of which 9,000 shares vested and became fully exercisable on April 6, 2016; 9,000 shares vested and became fully exercisable on April 6, 2017; and 12,000 shares vested and became fully exercisable on April 6, 2018.
As previously reported on the Issuer's Form DEF 14A Definitive Proxy Statement filed on March 17, 2017, on January 23, 2016, the Reporting Person was granted an employee stock option to purchase up to 13,000 shares of common stock, of which 3,900 shares vested and became fully exercisable on January 23, 2017; 3,900 shares vested and became fully exercisable on January 23, 2018; and 5,200 shares vested and became fully exercisable on January 23, 2019.
As previously reported on the Issuer's Form DEF 14A Definitive Proxy Statement filed on March 17, 2017, on April 11, 2016, the Reporting Person was granted an employee stock option to purchase up to 40,000 shares of common stock, of which 12,000 shares vested and became fully exercisable on April 11, 2017; 12,000 shares vested and became fully exercisable on April 11, 2018; and 16,000 shares vested and became fully exercisable on April 11, 2019.
This option vested over a period of three years according to the following schedule: 1/36th per month following the vesting commencement date of March 5, 2013.
This option vested over a period of three years according to the following schedule: 1/36th per month following the vesting commencement date of January 3, 2014.
This option vested over a period of three years according to the following schedule: 1/3 on July 23, 2015 and 1/3 on each anniversary thereafter.
This option vested over a period of three years according to the following schedule: 1/3 on August 14, 2015 and 1/3 on each anniversary thereafter.
This option vested over a period of three years according to the following schedule: 1/3 on December 31, 2015 and 1/3 on each anniversary thereafter.
This option (Grant No. 14-324) vests over a period of four years according to the following schedule: 1/48th per month, with the first installment vested on March 27, 2017.
The acquisition of these derivative securities was previously reported on the Reporting Person's Form 5 filed on February 27, 2014. This holdings entry is included solely to reconfirm the number derivative securities of this class beneficially owned by the Reporting Person.
The acquisition of these derivative securities was previously reported on the Reporting Person's Form 5 filed on February 13, 2015. As a result of an administrative error, the number of derivative securities of this class beneficially owned by the Reporting Person following the reported transaction was inaccurately reported in Column 9 of Table II. This holdings entry is included to correct the number derivative securities of this class beneficially owned by the Reporting Person.
The acquisition of these derivative securities was previously reported on the Reporting Person's Form 5 filed on February 17, 2015. As a result of an administrative error, the number of derivative securities of this class beneficially owned by the Reporting Person following the reported transaction was inaccurately reported in Column 9 of Table II. This holdings entry is included to correct the number derivative securities of this class beneficially owned by the Reporting Person.
The acquisition of these derivative securities was previously reported on the Reporting Person's Form 4 filed on April 3, 2017. This holdings entry is included solely to reconfirm the number derivative securities of this class beneficially owned by the Reporting Person.