STEMCELLS INC 4
4 · STEMCELLS INC · Filed Jun 7, 2013
Insider Transaction Report
Form 4
STEMCELLS INCSTEM
TSUKAMOTO ANN
EVP, Research and Development
Transactions
- Tax Payment
Common Stock
2012-06-01$1.76/sh−12,448$21,908→ 148,646 total - Award
Common Stock
2013-06-06+280,000→ 428,646 total
Holdings
- 3,643(indirect: By Trust)
Common Stock
- 16,791(indirect: By 401(k))
Common Stock
Footnotes (5)
- [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]Restricted stock units, with 1/4 vesting on June 6, 2014, June 6, 2015, June 6, 2016, and June 6, 2017.
- [F3]Includes (1) 280,000 restricted stock units, with 70,000 vesting on each of June 6, 2014, June 6, 2015, June 6, 2016, and June 6, 2017; and (2) 86,666 restricted stock units, with 43,333 vesting on each of January 27, 2014 and January 27, 2015.
- [F4]3,643 shares held in trust as to which Dr. Tsukamoto disclaims beneficial ownership.
- [F5]Shares held in 401(k) account in accordance with issuer's employer-match policies.