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4//SEC Filing

ImmunoCellular Therapeutics, Ltd. 4

Accession 0001181431-13-054785

$IMUCCIK 0000822411operating
View on SEC.govCompany Profile

Filed

Oct 21, 8:00 PM ET

Accepted

Oct 22, 4:24 PM ET

Size

19.9 KB

Accession

0001181431-13-054785

Insider Transaction Report

Form 4
Period: 2013-10-18
ImmunoCellular Therapeutics, Ltd.IMUC
Yu John S
DirectorSecretary
Transactions
  • Sale

    Common Stock

    2013-10-18$2.91/sh−231,381$673,226→ 0 total(indirect: By Trust)
  • Gift

    Common Stock

    2013-10-21−36,006→ 10,000 total
  • Exercise/Conversion

    Stock Option (right to buy)

    2013-10-18−231,381→ 68,619 total
    Exercise: $0.25Exp: 2014-02-25→ Common Stock (231,381 underlying)
  • Exercise/Conversion

    Common Stock

    2013-10-18$0.25/sh+231,381$57,845→ 241,381 total
  • Gift

    Common Stock

    2013-10-18+231,381→ 231,381 total(indirect: By Trust)
  • Exercise/Conversion

    Common Stock

    2013-10-21$0.25/sh+36,006$9,002→ 46,006 total
  • Gift

    Common Stock

    2013-10-21+36,006→ 36,006 total(indirect: By Trust)
  • Exercise/Conversion

    Stock Option (right to buy)

    2013-10-21−36,006→ 32,613 total
    Exercise: $0.25Exp: 2014-02-25→ Common Stock (36,006 underlying)
  • Gift

    Common Stock

    2013-10-18−231,381→ 10,000 total
  • Sale

    Common Stock

    2013-10-21$2.92/sh−36,006$105,080→ 0 total(indirect: By Trust)
Footnotes (5)
  • [F1]These shares are being transferred to the reporting person's Family Trust.
  • [F2]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  • [F3]The price reported is an average price. The prices ranged from $2.9000 to $2.9500 per share. Full information regarding the number of shares sold at each separate price within the range set forth in this footnote is available upon request by the SEC, the issuer or a security holder of the issuer.
  • [F4]The price reported is an average price. The prices ranged from $2.9000 to $2.9800 per share. Full information regarding the number of shares sold at each separate price within the range set forth in this footnote is available upon request by the SEC, the issuer or a security holder of the issuer.
  • [F5]Fully vested.

Documents

1 file

Issuer

ImmunoCellular Therapeutics, Ltd.

CIK 0000822411

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0000822411

Filing Metadata

Form type
4
Filed
Oct 21, 8:00 PM ET
Accepted
Oct 22, 4:24 PM ET
Size
19.9 KB
View on SEC.gov