TSUKAMOTO ANN 4
4 · STEMCELLS INC · Filed Jan 31, 2012
Insider Transaction Report
Form 4
STEMCELLS INCSTEM
TSUKAMOTO ANN
EVP, Research and Development
Transactions
- Award
Common Stock
2012-01-27+130,000→ 198,569 total
Holdings
- 8,853(indirect: By 401(k))
Common Stock
- 2,284(indirect: By Trust)
Common Stock
Footnotes (4)
- [F1]Restricted stock units, with 1/3 vesting on January 27, 2013, 1/3 vesting on January 27, 2014 and 1/3 vesting on January 27, 2015.
- [F2]Includes (1) 130,000 restricted stock units, with 43,333 vesting on each of January 27, 2013, January 27, 2014 and January 27, 2015; (2) 46,667 restricted stock units, with 23,333 vesting on each of June 1, 2012 and June 1, 2013; and (3) 4,667 restricted stock units, with 2,333 vesting on each of May 15, 2012 and May 15, 2013. Amounts reflect automatic adjustments under applicable benefit plans triggered by issuer's 1 for 10 reverse stock split.
- [F3]2,284 shares held in trust as to which Dr. Tsukamoto disclaims beneficial ownership. Amounts reflect automatic adjustments triggered by issuer's 1 for 10 reverse stock split.
- [F4]Shares held in 401(k) account in accordance with issuer's employer-match policies.