0001209191-16-094038.txt : 20160128 0001209191-16-094038.hdr.sgml : 20160128 20160128203601 ACCESSION NUMBER: 0001209191-16-094038 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160127 FILED AS OF DATE: 20160128 DATE AS OF CHANGE: 20160128 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STEMCELLS INC CENTRAL INDEX KEY: 0000883975 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 943078125 STATE OF INCORPORATION: DE FISCAL YEAR END: 1215 BUSINESS ADDRESS: STREET 1: 3155 PORTER DRIVE STREET 2: . CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 6504753100 MAIL ADDRESS: STREET 1: 3155 PORTER DRIVE STREET 2: . CITY: PALO ALTO STATE: CA ZIP: 94304 FORMER COMPANY: FORMER CONFORMED NAME: CYTOTHERAPEUTICS INC/DE DATE OF NAME CHANGE: 19930328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOSHY GEORGE CENTRAL INDEX KEY: 0001257780 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19871 FILM NUMBER: 161370706 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-01-27 0 0000883975 STEMCELLS INC STEM 0001257780 KOSHY GEORGE C/O STEMCELLS, INC. 7707 GATEWAY BLVD, STE 140 NEWARK CA 94560 0 0 0 1 chief accounting officer Common Stock 2016-01-27 4 F 0 4378 0.3499 D 352695 D Common Stock 38559 I By 401(k) Plan This is recorded as a Code F disposition because the shares were used by the reporting person to pay a tax liability incurred by him from the delivery of shares incident to the vesting of restricted stock units. Includes (1) 50,000 restricted stock units, with 25,000 vesting on each of May 24, 2016 and May 24, 2017; (2) 130,000 restricted stock units, with 65,000 of these vesting on each of January 8, 2017 and January 8, 2018; and (3) 65,500 restricted stock units with performance based vesting. Shares held in 401(k) account, in accordance with issuer's employer-match policies. /s/ Ken Stratton, attorney-in-fact 2016-01-28