Abiopharma

🔍 PORTNOY DAVID (Executive)

Company: CRYO CELL INTERNATIONAL INC (CCEL)

Report Date: 2026-01-07

Detailed Transactions and Holdings:

• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: By Corporation | shares_owned_after: 161,833.00 | Footnotes: F1
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: By 401K | shares_owned_after: 164,182.00
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: By IRA | shares_owned_after: 268,878.00
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: By Spouse | shares_owned_after: 107,403.00
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: By Corporation | shares_owned_after: 57,306.00 | Footnotes: F2
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: By LLC | shares_owned_after: 59,027.00 | Footnotes: F3
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | shares_owned_after: 847,629.00
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: As Custodian for son | shares_owned_after: 12,214.00
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: As Custodian for son | shares_owned_after: 11,804.00
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: As Custodian for son | shares_owned_after: 11,212.00
• Acquired 50,000 shares of Stock Option at $3.89 per share (Derivative)
  Date: 2026-01-07 | Code: A | Expires: 2031-01-07 | Exercise: 2026-01-07 | equity_swap_involved: false | shares_owned_after: 50,000.00 | transaction_form_type: 4 | Footnotes: F8
• Acquired 150,000 shares of Stock Option at $3.89 per share (Derivative)
  Date: 2026-01-07 | Code: A | Expires: 2031-01-07 | Exercise: 2026-01-07 | equity_swap_involved: false | shares_owned_after: 150,000.00 | transaction_form_type: 4 | Footnotes: F9
• Holds 26,243 shares of Stock Option at $7.53 per share (Derivative)
  Date: 2026-01-07 | Code: H | Expires: 2029-08-30 | Exercise: 2019-08-30 | shares_owned_after: 26,243.00
• Holds 23,636 shares of Stock Option at $7.28 per share (Derivative)
  Date: 2026-01-07 | Code: H | Expires: 2029-12-20 | Exercise: 2019-12-20 | shares_owned_after: 23,636.00
• Holds 280,000 shares of Stock Option at $12.27 per share (Derivative)
  Date: 2026-01-07 | Code: H | Expires: 2028-12-22 | Exercise: 2021-12-22 | shares_owned_after: 280,000.00 | Footnotes: F4
• Holds 50,000 shares of Stock Option at $4.77 per share (Derivative)
  Date: 2026-01-07 | Code: H | Expires: 2028-01-03 | Exercise: 2023-01-03 | shares_owned_after: 50,000.00 | Footnotes: F5
• Holds 50,000 shares of Stock Option at $4.3 per share (Derivative)
  Date: 2026-01-07 | Code: H | Expires: 2027-12-23 | Exercise: 2022-12-23 | shares_owned_after: 50,000.00
• Holds 50,000 shares of Stock Option at $6.47 per share (Derivative)
  Date: 2026-01-07 | Code: H | Expires: 2028-12-22 | Exercise: 2023-12-22 | shares_owned_after: 50,000.00 | Footnotes: F6
• Holds 50,000 shares of Stock Option at $8.08 per share (Derivative)
  Date: 2026-01-07 | Code: H | Expires: 2030-01-21 | Exercise: 2025-01-21 | shares_owned_after: 50,000.00 | Footnotes: F7

Footnotes:

• F1: Shares of Common Stock held by PartnerCommunity, Inc., as to which David I. Portnoy may be deemed beneficial owner as the Chairman of the Board and Secretary.
• F2: Shares of common stock held by uTIPu, Inc. as to which David Portnoy may be deemed the beneficial owner as the Chairman of the Board and Secretary.
• F3: Shares of common stock held by Mayim Limited Partnership as is David 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.
• F4: Stock options will vest immediately if the price of the Company's common stock reaches $25.00 per share during the seven-year option term.
• F5: 8,750 stock 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.
• F6: Stock options vest 1/3 upon issuance, 1/3 on December 22, 2024 and 1/3 on December 22, 2025.
• F7: Stock options vest 1/3 upon issuance, 1/3 on January 21, 2026 and 1/3 on January 21, 2027.
• F8: Stock options vest 1/3 upon issuance, 1/3 on January 7, 2027 and 1/3 on January 7, 2028.
• F9: The stock options were granted pursuant to the Cryo-Cell 2022 Stock Incentive Plan and an individual award agreement. The options are divided into three equal tranches, each subject to both time-based vesting and stock-price performance conditions. One tranche vests after the first anniversary of the grant date and upon the Company's common stock achieving an average closing price of at least $6 per share over 20 consecutive trading days. One tranche vests after the second anniversary and upon achieving an average closing price of at least $8 per share over 20 consecutive trading days. One tranche vests after the third anniversary and upon achieving an average closing price of at least $10 per share over 20 consecutive trading days, in each case subject to the reporting person's continued service to the Company.