0001209191-23-002380.txt : 20230106 0001209191-23-002380.hdr.sgml : 20230106 20230106170035 ACCESSION NUMBER: 0001209191-23-002380 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221223 FILED AS OF DATE: 20230106 DATE AS OF CHANGE: 20230106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PORTNOY DAVID CENTRAL INDEX KEY: 0001315416 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40767 FILM NUMBER: 23515756 MAIL ADDRESS: STREET 1: C/O FOCUS FINANCIAL GROUP STREET 2: 61 HARBOUR WAY CITY: BAL HARBOUR STATE: FL ZIP: 33154 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CRYO CELL INTERNATIONAL INC CENTRAL INDEX KEY: 0000862692 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 223023093 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 700 BROOKER CREEK BLVD STREET 2: SUITE 1800 CITY: OLDSMAR STATE: FL ZIP: 34677 BUSINESS PHONE: 813-749-2104 MAIL ADDRESS: STREET 1: 700 BROOKER CREEK BLVD STREET 2: SUITE 1800 CITY: OLDSMAR STATE: FL ZIP: 34677 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-12-23 0 0000862692 CRYO CELL INTERNATIONAL INC CCEL 0001315416 PORTNOY DAVID 700 BROOKER CREEK BLVD SUITE 1800 OLDSMAR FL 34677 1 1 1 0 Chairman, Co-CEO Common Stock 804742 D Common Stock 117012 I By 401K Common Stock 230621 I By IRA Common Stock 102586 I By Spouse Common Stock 152882 I By Corporation Common Stock 15611 I as Custodian for Daughter Common Stock 59027 I By LLC Common Stock 55219 I By Corporation Common Stock 11352 I As Custodian for Son Common Stock 11242 I As Custodian for Son Common Stock 10783 I As Custodian for Son Stock Option 7.92 2018-03-08 2023-03-08 Common Stock 23636 23636 D Stock Option 7.53 2019-08-30 2029-08-30 Common Stock 26243 26243 D Stock Option 7.28 2019-12-20 2029-12-20 Common Stock 23636 23636 D Stock Option 12.27 2021-12-22 2024-12-22 Common Stock 553 553 D Stock Option 12.27 2021-12-22 2028-12-22 Common Stock 280000 280000 D Stock Option 13.50 2021-12-22 2024-12-22 Common Stock 24447 24447 D Stock Option 4.77 2023-01-03 2028-01-03 Common Stock 50000 50000 D Stock Option 4.30 2022-12-23 4 A 0 50000 4.30 A 2022-12-23 2027-12-23 Common Stock 50000 50000 D Shares of Common Stock held by Mayim Investment Limited Partnership as is David I. Portnoy my 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. Shares of Common Stock held by uTIPu, Inc., as to which David I. Portnoy may be deemed the beneficial owner as the Chairman of the Board and Secretary. One-third of the stock options will vest on December 22, 2022, one-third will vest on December 22, 2023 and one-third on December 22, 2024. Stock options vest immediately if the price of the Company's common stock reaches $25.00 per share during the seven-year option term. 8,750 options vest upon issuance, 8,749 options vest on 1/2/2024, 21,000 options vest on 1/2/2025 and 11,501 options vest on 1/2/2026. Pursuant to the executive's Employment Agreement effective December 1, 2022, stock options will be awarded and will vest immediately if the price of the Company's stock reaches $8.00 per share during the five-year option term. /s/ David Portnoy 2023-01-06