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Wednesday, August 15, 2012 5:43:33 PM
- Statement of Changes in Beneficial Ownership (4)
Date :
08/15/2012 @ 12:32PM
Source :
Edgar (US Regulatory)
Stock :
Cryo-cell International, Inc." (QB) (CCEL)
Quote :
1.95 -0.16 (-7.58%) @ 5:00PM
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- Statement of Changes in Beneficial Ownership (4)
Alert
FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
1. Name and Address of Reporting Person *
Gaines George
2. Issuer Name and Ticker or Trading Symbol
CRYO CELL INTERNATIONAL INC [ CCEL ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__ X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
700 BROOKER CREEK BLVD., SUITE 1800
3. Date of Earliest Transaction (MM/DD/YYYY)
8/13/2012
(Street)
OLDSMAR, FL 34677
(City) (State) (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date
2A. Deemed Execution Date, if any
3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code
V
Amount
(A) or (D)
Price
Common Stock
700000
I
By IRA
Common Stock
8/13/2012
P
3000
A
$2.11
3000
I
By IRA
Common Stock
8/13/2012
P
1500
A
$2.10
1500
I
By IRA
Common Stock
8/13/2012
P
1500
A
$1.99
1500
I
By IRA
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security
3. Trans. Date
3A. Deemed Execution Date, if any
4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code
V
(A)
(D)
Date Exercisable
Expiration Date
Title
Amount or Number of Shares
Stock Options
$2.80
8/30/2011
8/30/2012
Common Stock
20000 (1)
20000.
D
Explanation of Responses:
( 1)
Stock options vest at a rate of 1/3 per year commencing on August 30, 2011.
Reporting Owners
Reporting Owner Name / Address
Relationships
Director
10% Owner
Officer
Other
Gaines George
700 BROOKER CREEK BLVD., SUITE 1800
OLDSMAR, FL 34677
X
Signatures
George Gaines
8/15/2012
** Signature of Reporting Person
Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*
If the form is filed by more than one reporting person, see Instruction 4(b)(v).
**
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note:
File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
Nothing in all the world is more dangerous than sincere ignorance and conscientious stupidity.
Martin Luther King Jr
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