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Filing Details

Accession Number:
0001654954-19-001595
Form Type:
5
Zero Holdings:
No
Publication Time:
2019-02-14 21:50:57
Reporting Period:
2018-12-31
Accepted Time:
2019-02-14 21:50:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1378624 Cellular Biomedicine Group Inc. CBMG Biological Products, (No Disgnostic Substances) (2836) 861032927
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1569983 Tony Liu 1345 Avenue Of The Americas, Fl. 15
New York NY 10105
Ceo, Cfo No No 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 Disposition 2018-10-26 875 $12.75 118,150 No 4 S Direct
Common Stock Disposition 2018-11-27 875 $18.07 117,275 No 4 S Direct
Common Stock Disposition 2018-12-27 875 $17.64 116,400 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
Footnotes
  1. As previously reported on the Reporting Person's Form 4 filed on April 3, 2017, on March 27, 2017, the Reporting Person was granted 26,500 restricted stock units ("RSUs") (Grant No. LTIP RSU G4) under the Cellular Biomedicine Group, Inc. 2014 Stock Incentive Plan (the "Plan"), which RSUs vest according to the following schedule: 1/48th per month, with the first installment vested on March 27, 2017.
  2. On October 26, 2018, upon vesting of his RSUs, the Reporting Person sold an aggregate of 194 shares of common stock at a per share price of $12.75. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
  3. On November 27, 2018, upon vesting of his RSUs, the Reporting Person sold an aggregate of 194 shares of common stock at a per share price of $18.07. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
  4. On December 27, 2018, upon vesting of his RSUs, the Reporting Person sold an aggregate of 194 shares of common stock at a per share price of $17.64. The transaction was effectuated for the purpose of fulfilling his tax obligations in accordance with the terms of his employment agreement and the Plan. Accordingly, the Reporting Person had no discretion with regard to the timing of the transaction.
  5. The amount only includes shares of common stock granted as part of the Restricted Stock Units under the Cellular Biomedicine Group, Inc. 2014 Stock Incentive Plan and does not include any other shares of common stock of the issuer owned by the Reporting Person, the ownership of which has been reported in his prior filings pursuant to Section 16 of the Securities Exchange Act of 1934, as amended.