Come on POOR BROTHERS Why are you trying so HARD to keep the PPS UP!
- Statement of Changes in Beneficial Ownership (4)
Date :
09/12/2012 @ 4:55PM
Source :
Edgar (US Regulatory)
Stock :
Cryo-cell International, Inc. (QB) (CCEL)
Quote :
2.17 -0.01 (-0.46%) @ 1:20PM
- Statement of Changes in Beneficial Ownership (4)
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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
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OMB Number: 3235-0287
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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 *
PORTNOY DAVID
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
__ X __ Officer (give title below) _____ Other (specify below)
Co-Chief Executive Officer
(Last) (First) (Middle)
700 BROOKER CREEK BLVD., SUITE 1800
3. Date of Earliest Transaction (MM/DD/YYYY)
9/10/2012
(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
9/10/2012
P
1
A
$2.17
18101
D
Common Stock
9/10/2012
P
1000
A
$2.18
19101
D
Common Stock
9/11/2012
P
1250
A
$2.18
20351
D
Common Stock
9/12/2012
P
542
A
$2.18
20893
D
Common Stock
131778
I
By Corporation (1)
Common Stock
199080
I
By IRA
Common Stock
199738
I
By LLC (2)
Common Stock
51678
I
By Spouse
Common Stock
4854
I
As Cust for Son
Common Stock
4000
I
As Cust for Daughter
Common Stock
55219
I
By Corporation 2 (3)
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 Option
$1.72
12/1/2011
12/1/2021
Common Stock
200000
200000
D
Stock Option
$2.90
8/31/2011
8/31/2021
Common Stock
100000
300000
D
Explanation of Responses:
( 1)
Shares of Common Stock held by PartnerCommunity, as to which David I. Portnoy may be deemed the beneficial owner as Chairman of the Board and Secretary and as managing member of Mayim Management, LLC, which may exercise investment and voting discretion over such shares of Common Stock in accordance with the Investment Advisory Agreement.
( 2)
Shares of Common Stock held by Mayim Investments Limited Partnership, as to which David I.Portnoy may be deemed the beneficial owner as the managing member and owner of Mayim Management, LLC, which is the general partner of Mayim Management Limited Partnership, which is the general partner of Mayim Investment Limited Partnership.
( 3)
Shares of Common Stock held by uTIPu, Inc., as to which David I. Portnoy may be deemed the beneficial owner as Chairman of the Board and Secretary.
Reporting Owners
Reporting Owner Name / Address
Relationships
Director
10% Owner
Officer
Other
PORTNOY DAVID
700 BROOKER CREEK BLVD., SUITE 1800
OLDSMAR, FL 34677
X
Co-Chief Executive Officer
Signatures
/s/ David I. Portnoy
9/12/2012
** 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.
Cryo-cell International, Inc. (QB) (USOTC:CCEL)
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