TSUKAMOTO ANN 4
4 · STEMCELLS INC · Filed May 16, 2012
Insider Transaction Report
Form 4
STEMCELLS INCSTEM
TSUKAMOTO ANN
EVP, Research and Development
Transactions
- Tax Payment
Common Stock
2012-05-15$0.85/sh−1,089$926→ 196,101 total
Holdings
- 11,245(indirect: By 401(k))
Common Stock
- 3,643(indirect: By Trust)
Common Stock
Footnotes (4)
- [F1]This is recorded as a Code F disposition because the shares were used by the reporting person to pay a tax liability incurred by her from the delivery of shares incident to the vesting of restricted stock units.
- [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 (2) 2,333 restricted stock units vesting on May 15, 2013.
- [F3]3,643 shares held in trust as to which Dr. Tsukamoto disclaims beneficial ownership.
- [F4]Shares held in 401(k) account in accordance with issuer's employer-match policies.