Filing Details

Accession Number:
0001683168-18-002939
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-10-03 16:45:24
Reporting Period:
2018-10-02
Accepted Time:
2018-10-03 16:45:24
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1355790 International Stem Cell Corp ISCO.OB Pharmaceutical Preparations (2834) 204494098
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1616590 Sophia Garnette C/O International Stem Cell Corporation
5950 Priestly Drive
Carlsbad CA 92008
Vp, Legal Affairs & Operation No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-10-02 1,494 $1.10 1,761 No 4 M Direct
Common Stock Disposition 2018-10-02 1,494 $1.58 267 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2018-10-02 1,494 $0.00 49,352 $1.10
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
47,858 2027-05-31 No 4 M Direct
Footnotes
  1. The reported shares were sold in open market transactions through a broker-dealer at $1.58 per share.
  2. The option, representing a total of 60,000 shares, became exercisable "vested" in installments. 3/36th of the shares underlying such options vested on August 31, 2017, and the remaining shares in equal monthly installments over a period of 33 months.