Liu Wen Tao 4

4 · Cellular Biomedicine Group, Inc. · Filed Apr 12, 2018

Form 4

Period: 2018-04-10

DirectorCEO

Transactions

Exercise/Conversion
Common Stock
2018-04-10$15.53/sh+10,400$161,512→ 223,476 total
Sale
Common Stock
2018-04-11$20.08/sh−12,044$241,844→ 213,076 total
Exercise/Conversion
Non-Qlfd. Stock Option(right to buy)(2014 Plan-Grant 14-142)
2018-04-10−10,400→ 12,044 total
Exercise: $15.53→ Common Stock (10,400 underlying)
Sale
Common Stock
2018-04-10$20.09/sh−10,400$208,988→ 213,076 total
Exercise/Conversion
Common Stock
2018-04-11$15.53/sh+12,044$187,043→ 225,120 total
Exercise/Conversion
Non-Qlfd. Stock Option(right to buy)(2014 Plan-Grant 14-142)
2018-04-11−12,044→ 0 total
Exercise: $15.53→ Common Stock (12,044 underlying)

Footnotes (4)

[F1]The transactions reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 25, 2015. Accordingly, the reporting person had no discretion with regard to the timing of the transactions.
[F2]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.05 to $20.20, inclusive.
[F3]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.40, inclusive.
[F4]This option vested over a period of three years according to the following schedule: 1/3 on December 31, 2015 and 1/3 on each anniversary thereafter. The expiration date of such option is May 6, 2017 or 3 months after the reporting person ceases serving on the board of directors of the registrant, whichever is later.

Documents

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