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ICEL Cellular Dynamics International, Inc.

16.55
0.00 (0.00%)
31 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Cellular Dynamics International, Inc. NASDAQ:ICEL NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 16.55 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

01/05/2015 9:12pm

Edgar (US Regulatory)


FORM 4
[ X ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Sixth Floor Investors LP
2. Issuer Name and Ticker or Trading Symbol

CELLULAR DYNAMICS INTERNATIONAL, INC. [ ICEL ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

3555 TIMMONS LANE, SUITE 800, 
3. Date of Earliest Transaction (MM/DD/YYYY)

4/30/2015
(Street)

HOUSTON, TX 77027
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.0001 par value per share ("Common Stock")   4/30/2015     U    2091282   D $16.50   0   D   (1) (2) (3)  
Common Stock   5/1/2015     X    27413   A $12.00   27413   D   (1) (2) (3)  
Common Stock   5/1/2015     J (4)    27413   D $16.50   0   D   (1) (2) (3)  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrant to Purchase Common Stock   $12.00   5/1/2015     X         27413    6/27/2013   6/27/2023   Common Stock   27413   $0   0   D   (1) (2) (3) (5)  

Explanation of Responses:
( 1)  In addition to Sixth Floor Investors LP, a Delaware limited partnership ("Sixth Floor Investors"), this Form 4 is being filed jointly by 8-26-22 GP LLC, a Delaware limited liability company ("8-26-22"), and Texas 8-26-22 Trust 2 ("Texas 8-26-22", and together with Sixth Floor Investors and 8-26-22, the "Reporting Persons"), each of whom may be deemed to have a pecuniary interest in securities owned by Sixth Floor Investors.
( 2)  Sixth Floor Investors holds directly the securities set forth in this Form 4 (the "Subject Securities"). As the general partner of Sixth Floor Investors, 8-26-22 may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the sole member of 8-26-22, Texas 8-26-22 may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a).
( 3)  Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein.
( 4)  On May 1, 2015, all outstanding shares of Common Stock were converted into a right to receive merger consideration in the amount of $16.50 per share pursuant to the Agreement and Plan of Merger, dated as of March 30, 2015, by and among FUJIFILM Holdings Corporation, Badger Acquisition Corporation and Cellular Dynamics International, Inc.
( 5)  The warrant to purchase shares of Common Stock set forth on Table II does not give any of the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and does not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Sixth Floor Investors LP
3555 TIMMONS LANE, SUITE 800
HOUSTON, TX 77027

X

8-26-22 GP LLC
C/O LEWIS M. LINN, MANAGER
3555 TIMMONS LANE, SUITE 800
HOUSTON, TX 77027

X

Texas 8-26-22 Trust 2
C/O 1922 TRUST COMPANY LTA, TRUSTEE
3555 TIMMONS LANE, SUITE 800
HOUSTON, TX 77027

X


Signatures
Sixth Floor Investors LP, By: 8-26-22 GP LLC, its General Partner, By: /s/ Daniel F. Pritzker, Chief Executive Officer 5/1/2015
** Signature of Reporting Person Date

8-26-22 GP LLC, By: /s/ Lewis M. Linn, Manager 5/1/2015
** Signature of Reporting Person Date

Texas 8-26-22 Trust 2, By: 1922 Trust Company LTA, its Trustee, By: /s/ Lewis M. Linn, President 5/1/2015
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

1 Year CELLULAR DYNAMICS INTERNATIONAL, Chart

1 Year CELLULAR DYNAMICS INTERNATIONAL, Chart

1 Month CELLULAR DYNAMICS INTERNATIONAL, Chart

1 Month CELLULAR DYNAMICS INTERNATIONAL, Chart