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Portnoy Mark L. – ‘4’ for 12/22/23 re: Cryo Cell International Inc.

On:  Thursday, 12/28/23, at 5:00pm ET   ·   For:  12/22/23   ·   As:  Director, Officer and 10% Owner   ·   Accession #:  1209191-23-59921   ·   File #:  1-40767

Previous ‘4’:  ‘4’ on 1/6/23 for 12/23/22   ·   Latest ‘4’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/28/23  Portnoy Mark L.                   4          D,O,%Owner  1:12K  Cryo Cell International Inc.      DONNELLEY FIN… File16/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Form 4 Submission -- doc4.xml/5.8                   HTML     12K


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Form 4 Submission
 

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

This is our “Plain Text” rendering:
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0508
Document Type:  4
Period of Report:  12/22/23
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  862692
Issuer Name:  CRYO CELL INTERNATIONAL INC
Issuer Trading Symbol:  CCEL
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1529249
Owner Name:  Portnoy Mark L.
Reporting Owner Address:
Owner Street 1:  700 BROOKER CREEK BLVD
Owner Street 2:  SUITE 1800
Owner City:  OLDSMAR
Owner State:  FL
Owner ZIP Code:  34677
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  Yes
Is Ten Percent Owner?  Yes
Is Other?  No
Officer Title:  Co-CEO
Aff 10b5 One:  0
Non-Derivative Table:
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  42,266
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By 401K
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  71,529
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Partnership
Footnote ID:  F1
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  821,973
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Table:
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  7.53
Exercise Date:
Value:  8/30/19
Expiration Date:
Value:  8/30/29
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  22,222
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  22,222
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  7.28
Exercise Date:
Value:  12/20/19
Expiration Date:
Value:  12/20/29
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  20,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  20,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  13.50
Exercise Date:
Value:  12/22/21
Footnote ID:  F2
Footnote ID:  F3
Expiration Date:
Value:  12/22/24
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  20,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  20,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  12.27
Exercise Date:
Value:  12/22/21
Footnote ID:  F2
Footnote ID:  F4
Expiration Date:
Value:  12/22/28
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  100,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  100,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  4.77
Exercise Date:
Value:  1/3/23
Footnote ID:  F5
Expiration Date:
Value:  1/3/28
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  25,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  25,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  4.30
Exercise Date:
Value:  12/23/22
Footnote ID:  F6
Expiration Date:
Value:  12/23/27
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  25,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  25,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Stock Option
Conversion or Exercise Price:
Value:  6.47
Transaction Date:
Value:  12/22/23
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  25,000
Transaction Price Per Share:
Value:  6.47
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Value:  12/22/23
Footnote ID:  F7
Expiration Date:
Value:  12/22/28
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  25,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  25,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  Shares of Common Stock held by Capital Asset Fund #1 Limited Partnership, as to which Mark L. Portnoy may be deemed the beneficial owner as its general partner.
Footnote - F2:  The stock options are subject to the approval of the 2022 Equity Incentive Plan, which vote is expected to occur at the Company's 2022 Annual Meeting.
Footnote - F3:  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.
Footnote - F4:  Stock options vest immediately if the price of the Company's stock reaches $25.00 per share during the seven-year option term.
Footnote - F5:  11,250 options vest upon issuance, 11,250 options vest on 1/2/24 and 2,500 options vest on 1/2/25.
Footnote - F6:  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.
Footnote - F7:  Stock options vest 1/3 upon issuance, 1/3 on December 22, 2024 and 1/3 on December 22, 2025.
Remarks:
Owner Signature:
Signature Name:  /s/ Mark Portnoy
Signature Date:  12/28/23


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