SEC Form 4
FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
CRYO CELL INTERNATIONAL INC

(Last) (First) (Middle)
700 BROOKER CREEK BLVD., SUITE 1800

(Street)
OLDSMAR FL 34677

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CBA Florida, Inc. [ CBAI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
01/30/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 114,207,446(1)(5) D
Common Stock 8,789,932(2)(5) D
Common Stock 4,061,770(3)(5) D
Common Stock 01/30/2020 S 2,462,467(4) D $0.008 21,537,533(4)(5) D
Common Stock 01/31/2020 S 1,537,533(4) D $0.008 20,000,000(4)(5) 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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 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: 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
1. Name and Address of Reporting Person*
CRYO CELL INTERNATIONAL INC

(Last) (First) (Middle)
700 BROOKER CREEK BLVD., SUITE 1800

(Street)
OLDSMAR FL 34677

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
PORTNOY DAVID

(Last) (First) (Middle)
700 BROOKER CREEK BLVD., SUITE 1800

(Street)
OLDSMAR FL 34677

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
X Officer (give title below) Other (specify below)
Co-Chief Executive Officer
1. Name and Address of Reporting Person*
Portnoy Mark L.

(Last) (First) (Middle)
700 BROOKER CREEK BLVD.
ST. 1800

(Street)
OLDSMAR FL 34677

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
X Officer (give title below) Other (specify below)
Co-Chief Executive Officer
1. Name and Address of Reporting Person*
Gaines George

(Last) (First) (Middle)
700 BROOKER CREEK BLVD., SUITE 1800

(Street)
OLDSMAR FL 34677

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
Explanation of Responses:
1. Shares owned solely by CRYO-CELL International, Inc.
2. Shares owned solely by David I. Portnoy.
3. Shares owned solely by Mark L. Portnoy.
4. Shares owned solely by George Gaines.
5. Messrs. Portnoy, Portnoy and Gaines, along with CRYO-CELL International, Inc. are deemed to be members of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended.
Remarks:
/s/ David Portnoy, Individual, and Chief Executive Officer and Authorized Representative of Cryo- Cell, International, Inc. 02/03/2020
/s/ David Portnoy 02/03/2020
/s/ Mark Portnoy 02/03/2020
/s/ George Gaines 02/03/2020
** 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 Number.