Abiopharma

🔍 Portnoy Mark L. (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 | shares_owned_after: 821,973.00
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: By 401K | shares_owned_after: 42,266.00
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-07 | Code: H | nature_of_ownership: By Partnership | shares_owned_after: 71,529.00 | Footnotes: F1
• 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: F6
• Acquired 25,000 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: 25,000.00 | transaction_form_type: 4 | Footnotes: F7
• Holds 22,222 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: 22,222.00
• Holds 20,000 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: 20,000.00
• Holds 100,000 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: 100,000.00 | Footnotes: F2
• Holds 25,000 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: 25,000.00 | Footnotes: F3
• Holds 25,000 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: 25,000.00
• Holds 25,000 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: 25,000.00 | Footnotes: F4
• Holds 25,000 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: 25,000.00 | Footnotes: F5

Footnotes:

• F1: Shares of common stock held by Capital Asset Fund #1 Limited Partnership, as to which Mark Portnoy may be deemed beneficial owner as its general partner.
• F2: 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.
• F3: 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.
• F4: Stock options vest 1/3 upon issuance, 1/3 on December 22, 2024 and 1/3 on December 22, 2025.
• F5: Stock options vest 1/3 upon issuance, 1/3 on January 21, 2026 and 1/3 on January 21, 2027.
• F6: 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.
• F7: Stock options vest 1/3 upon issuance, 1/3 on January 7, 2027 and 1/3 on January 7, 2028.