Sec Form 4 Filing - Liu Wen Tao @ Cellular Biomedicine Group, Inc. - 2018-04-10

Insider filing report for Changes in Beneficial Ownership
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FORM 4
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Liu Wen Tao
2. Issuer Name and Ticker or Trading Symbol
Cellular Biomedicine Group, Inc. [ CBMG]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
19925 STEVENS CREEK BLVD., SUITE 100
3. Date of Earliest Transaction (MM/DD/YY)
04/10/2018
(Street)
CUPERTINO, CA95014
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 04/10/2018 M 10,400 A $ 15.53 223,476 D
Common Stock 04/10/2018 S( 1 ) 10,400 D $ 20.095 ( 2 ) 213,076 D
Common Stock 04/11/2018 M 12,044 A $ 15.53 225,120 D
Common Stock 04/11/2018 S( 1 ) 12,044 D $ 20.08 ( 3 ) 213,076 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Non-Qlfd. Stock Option(right to buy)(2014 Plan-Grant 14-142) $ 15.53 04/10/2018 M 10,400 ( 4 ) ( 4 ) Common Stock 10,400 $ 0 12,044 D
Non-Qlfd. Stock Option(right to buy)(2014 Plan-Grant 14-142) $ 15.53 04/11/2018 M 12,044 ( 4 ) ( 4 ) Common Stock 12,044 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Liu Wen Tao
19925 STEVENS CREEK BLVD., SUITE 100
CUPERTINO, CA95014
X
Signatures
/s/ Wen Tao Liu 04/12/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The transactions reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 25, 2015. Accordingly, the reporting person had no discretion with regard to the timing of the transactions.
( 2 )The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.05 to $20.20, inclusive.
( 3 )The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.40, inclusive.
( 4 )This option vested over a period of three years according to the following schedule: 1/3 on December 31, 2015 and 1/3 on each anniversary thereafter. The expiration date of such option is May 6, 2017 or 3 months after the reporting person ceases serving on the board of directors of the registrant, whichever is later.

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).

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