Sec Form 4 Filing - PORTNOY DAVID @ CRYO CELL INTERNATIONAL INC - 2018-03-15

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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
PORTNOY DAVID
2. Issuer Name and Ticker or Trading Symbol
CRYO CELL INTERNATIONAL INC [ CCEL]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Co-Chief Executive Officer
(Last) (First) (Middle)
700 BROOKER CREEK BLVD., SUITE 1800
3. Date of Earliest Transaction (MM/DD/YY)
03/15/2018
(Street)
OLDSMAR, FL34677
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 151,224 I By Corporation ( 1 )
Common Stock 49,150 I By 401K
Common Stock 9,122 I As Cust for Daughter
Common Stock 9,974 I As Cust for Son
Common Stock 03/15/2018 A 91,801 ( 6 ) A $ 0 578,333 D
Common Stock 78,864 I By Spouse
Common Stock 59,027 I By LLC ( 2 )
Common Stock 199,080 I By IRA
Common Stock 55,219 I By Corporation 2 ( 3 )
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
Stock Option $ 1.72 12/01/2011 12/01/2021 Common Stock 200,000 200,000 D
Stock Option $ 2.9 08/31/2011 08/31/2021 Common Stock 100,000 100,000 D
Stock Option $ 3.14 04/15/2016( 4 ) 04/15/2026 Common Stock 70,270 70,270 D
Stock Option $ 7.92 ( 5 ) 03/08/2023 Common Stock 23,636 23,636 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
PORTNOY DAVID
700 BROOKER CREEK BLVD., SUITE 1800
OLDSMAR, FL34677
X Co-Chief Executive Officer
Signatures
/s/ David I. Portnoy 03/20/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Share of Common Stock held by Partner Community, as to which David I. Portnoy may be deemed the beneficial owner as the Chairman of the Board and Secretary and as the managing member of Mayim Management, LLC, which may exercise investment and voting discretion over such shares of Common Stock in accordance with the Investment Advisory Agreement.
( 2 )Share of Common Stock held by Mayim Investment Limited Partnership, as to David I. Portnoy may be deemed the beneficial owner as the managing member and owner Mayim Management, LLC, which is the general partner of Mayim Management Limited Partnership, which is the general partner of Mayim Investment Limited Partnership.
( 3 )Share of Common Stock held by uTIPu, Inc, as to which David I. Portnoy may be deemed the beneficial owner as the Chairman of the Board and Secretary.
( 4 )Stock options vest 1/3 on date of grant, 1/3 on December 1, 2016 and 1/3 December 1, 2017.
( 5 )Stock options will vest 1/3 on date of grant, 1/3 on December 1, 2018 and 1/3 on December 1, 2019.
( 6 )Shares of restricted stock awarded for 2017 performance pursuant to employment agreement executed April 15, 2016.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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