STEMCELLS INC 4
4 · STEMCELLS INC · Filed Jan 28, 2015
Insider Transaction Report
Form 4
STEMCELLS INCSTEM
TSUKAMOTO ANN
EVP, Research and Development
Transactions
- Tax Payment
Common Stock
2015-01-27$1.07/sh−20,995$22,465→ 706,511 total
Holdings
- 3,643(indirect: By Trust)
Common Stock
- 26,369(indirect: By 401(k))
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) 210,000 restricted stock units, with 70,000 of these vesting on each of June 6, 2015, June 6, 2026, and June 6, 2017; (2) 250,000 restricted stock units, with 83,333 of these vesting on each of January 8, 2016, January 8, 2017, and January 8, 2018; and (3) 100,000 restricted stock units with performance based vesting.
- [F3]2,284 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.