Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CBA Florida, Inc.CBAI · Entity 148644 | 10% owner | May 06, 2020 | May 14, 2020 |
| CRYO CELL INTERNATIONAL INCCCEL · Entity 7400 | Director | August 30, 2021 | September 01, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CBA Florida, Inc.
Report date May 06, 2020 · Filed May 14, 2020
Jointly reported with CRYO CELL INTERNATIONAL INC, PORTNOY DAVID, Portnoy Mark L.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,429,137 |
Reported balance
After 2020-05-06 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2020-05-06 · Sale · Disposed 586,575 · Balance 2,429,137 F4: Shares owned solely by George Gaines. F5: 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. |
| Common StockSEC Table I · non-derivative | Direct | 779,138 |
Reported balance
After 2020-05-07 transaction · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · 2020-05-07 · Sale · Disposed 1,649,999 · Balance 779,138 F4: Shares owned solely by George Gaines. F5: 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. |
| Common StockSEC Table I · non-derivative | Direct | 114,207,446 |
Reported balance
Holding disclosure · report date 2020-05-06 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 114,207,446 F1: Shares owned solely by cryo-cell International, Inc. F5: 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. |
| Common StockSEC Table I · non-derivative | Direct | 5,614,932 |
Reported balance
Holding disclosure · report date 2020-05-06 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,614,932 F2: Shares owned solely by David I. Portnoy. F5: 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. |
| Common StockSEC Table I · non-derivative | Direct | 4,061,770 |
Reported balance
Holding disclosure · report date 2020-05-06 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,061,770 F3: Shares owned solely by Mark L. Portnoy. F5: 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. |
| Common stockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-05-05 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2020-05-05 · Sale · Disposed 779,138 · Balance 0 F4: Shares owned solely by George Gaines. F5: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares owned solely by cryo-cell International, Inc.
F2: Shares owned solely by David I. Portnoy.
F3: Shares owned solely by Mark L. Portnoy.
F4: Shares owned solely by George Gaines.
F5: 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.
CRYO CELL INTERNATIONAL INC
Report date August 30, 2021 · Filed September 01, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2021-09-01 transaction · row 9
8 source rows · reconciled sequenceRow 2 · 2021-08-30 · Sale · Disposed 1,800 · Balance 14,229 Row 3 · 2021-08-30 · Sale · Disposed 4,400 · Balance 9,829 Row 4 · 2021-08-30 · Sale · Disposed 3,800 · Balance 6,029 Row 5 · 2021-08-31 · Sale · Disposed 10 · Balance 6,019 Row 6 · 2021-08-31 · Sale · Disposed 278 · Balance 5,741 Row 7 · 2021-08-31 · Sale · Disposed 2,041 · Balance 3,700 Row 8 · 2021-08-31 · Sale · Disposed 1 · Balance 3,699 Row 9 · 2021-09-01 · Sale · Disposed 3,699 · Balance 0 |
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 992,527 |
Reported balance
Holding disclosure · report date 2021-08-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 992,527 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.40 · Expires 2024-07-22 | Direct | 7,500 |
Reported balance
Holding disclosure · report date 2021-08-30 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 7,500 F1: Stock options vest at a rate of 1/12 per month commencing on July 22, 2014. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.95 · Expires 2023-07-19 | Direct | 7,500 |
Reported balance
Holding disclosure · report date 2021-08-30 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 7,500 F2: Stock options vest at a rate of 1/12 per month commencing on July 19, 2013. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.04 · Expires 2022-07-10 | Direct | 7,500 |
Reported balance
Holding disclosure · report date 2021-08-30 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance 7,500 F3: Stock options vest at a rate of 1/12 per month commencing on July 10, 2012. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $3.08 · Expires 2025-07-09 | Direct | 7,500 |
Reported balance
Holding disclosure · report date 2021-08-30 · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · Balance 7,500 F4: Stock options vest at a rate of 1/12 per month commencing on July 9, 2015. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $7.53 · Expires 2029-08-30 | Direct | 7,500 |
Reported balance
Holding disclosure · report date 2021-08-30 · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · Balance 7,500 F5: Stock options vest at a rate of 1/12 per month commencing on August 30, 2019. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $7.74 · Expires 2029-11-25 | Direct | 5,300 |
Reported balance
Holding disclosure · report date 2021-08-30 · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · Balance 5,300 F6: Stock options vest at a rate of 1/12 per month commencing on November 25, 2019. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $7.85 · Expires 2030-09-22 | Direct | 5,300 |
Reported balance
Holding disclosure · report date 2021-08-30 · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · Balance 5,300 F7: Stock options vest at a rate of 1/12 per month commencing on September 22, 2020 |
Filing footnotes · ownership attribution and instrument terms
F1: Stock options vest at a rate of 1/12 per month commencing on July 22, 2014.
F2: Stock options vest at a rate of 1/12 per month commencing on July 19, 2013.
F3: Stock options vest at a rate of 1/12 per month commencing on July 10, 2012.
F4: Stock options vest at a rate of 1/12 per month commencing on July 9, 2015.
F5: Stock options vest at a rate of 1/12 per month commencing on August 30, 2019.
F6: Stock options vest at a rate of 1/12 per month commencing on November 25, 2019.
F7: Stock options vest at a rate of 1/12 per month commencing on September 22, 2020
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 15, 2019 Filed Nov 19, 2019 22:15 UTC | CBA Florida, Inc. CBAI · Entity 148644 | SaleCommon Stock | 1,348,622 | $0.01 | $10,788.98 |
DisclosureSEC source: 0000899243-19-027593 · doc4.xml · nonDerivative · entry 4 CRYO CELL INTERNATIONAL INC · CIK 0000862692 · 10% owner PORTNOY DAVID · CIK 0001315416 · 10% owner Portnoy Mark L. · CIK 0001529249 · 10% owner Gaines George · CIK 0001529399 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,789,932 F2 · shares: Shares owned solely by David I. Portnoy. F5 · shares: 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. Read SEC document |
| November 15, 2019 Filed Nov 19, 2019 22:15 UTC | CBA Florida, Inc. CBAI · Entity 148644 | SaleCommon Stock | 10,000 | $0.01 | $82.00 |
DisclosureSEC source: 0000899243-19-027593 · doc4.xml · nonDerivative · entry 3 CRYO CELL INTERNATIONAL INC · CIK 0000862692 · 10% owner PORTNOY DAVID · CIK 0001315416 · 10% owner Portnoy Mark L. · CIK 0001529249 · 10% owner Gaines George · CIK 0001529399 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,138,554 F2 · shares: Shares owned solely by David I. Portnoy. F5 · shares: 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. Read SEC document |
| November 15, 2019 Filed Nov 19, 2019 22:15 UTC | CBA Florida, Inc. CBAI · Entity 148644 | SaleCommon Stock | 120,000 | $0.01 | $972.00 |
DisclosureSEC source: 0000899243-19-027593 · doc4.xml · nonDerivative · entry 2 CRYO CELL INTERNATIONAL INC · CIK 0000862692 · 10% owner PORTNOY DAVID · CIK 0001315416 · 10% owner Portnoy Mark L. · CIK 0001529249 · 10% owner Gaines George · CIK 0001529399 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,148,554 F2 · shares: Shares owned solely by David I. Portnoy. F5 · shares: 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. Read SEC document |
| August 30, 2019 Filed Sep 4, 2019 21:17 UTC | CRYO CELL INTERNATIONAL INC CCEL · Entity 7400 | GrantStock Option · Derivative | 7,500 | $7.53 Strike: $7.53 | $56,475.00 |
DisclosureSEC source: 0000899243-19-022752 · doc4.xml · derivative · entry 9 Gaines George · CIK 0001529399 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2029-08-30 F7 · derivative.exercise_date: Stock options vest at a rate of 1/12 per month commencing on August 30, 2019. Read SEC document |
| August 30, 2018 Filed Aug 30, 2018 21:22 UTC | CRYO CELL INTERNATIONAL INC CCEL · Entity 7400 | Exercise / conversionStock Options · Derivative | 20,000 | $2.70 Strike: $2.70 | $54,000.00 |
DisclosureSEC source: 0000899243-18-023562 · doc4.xml · derivative · entry 3 Gaines George · CIK 0001529399 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2021-08-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.underlying_shares: Stock options vest at a rate of 1/3 per year commencing on August 30, 2011. Read SEC document |
| August 30, 2018 Filed Sep 4, 2018 21:00 UTC | CRYO CELL INTERNATIONAL INC CCEL · Entity 7400 | PurchaseCommon Stock | 100 | $7.95 | $795.00 |
DisclosureSEC source: 0000899243-18-023732 · doc4.xml · nonDerivative · entry 4 Gaines George · CIK 0001529399 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 1,053,200 Read SEC document |
| August 30, 2018 Filed Sep 4, 2018 21:00 UTC | CRYO CELL INTERNATIONAL INC CCEL · Entity 7400 | PurchaseCommon Stock | 2,700 | $8.00 | $21,600.00 |
DisclosureSEC source: 0000899243-18-023732 · doc4.xml · nonDerivative · entry 3 Gaines George · CIK 0001529399 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 1,053,100 Read SEC document |
| August 29, 2018 Filed Aug 30, 2018 21:22 UTC | CRYO CELL INTERNATIONAL INC CCEL · Entity 7400 | Exercise / conversionCommon Stock | 20,000 | $2.70 | $54,000.00 |
DisclosureSEC source: 0000899243-18-023562 · doc4.xml · nonDerivative · entry 1 Gaines George · CIK 0001529399 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 20, 2018 Filed Aug 22, 2018 20:30 UTC | CRYO CELL INTERNATIONAL INC CCEL · Entity 7400 | PurchaseCommon Stock | 400 | $8.00 | $3,200.00 |
DisclosureSEC source: 0000899243-18-023026 · doc4.xml · nonDerivative · entry 1 Gaines George · CIK 0001529399 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 1,050,400 Read SEC document |
| August 16, 2018 Filed Aug 17, 2018 20:01 UTC | CBA Florida, Inc. CBAI · Entity 148644 | SaleCommon Stock | 5,000,000 | $0.01 | $31,000.00 |
DisclosureSEC source: 0000899243-18-022695 · doc4.xml · nonDerivative · entry 2 CRYO CELL INTERNATIONAL INC · CIK 0000862692 · 10% owner PORTNOY DAVID · CIK 0001315416 · 10% owner Portnoy Mark L. · CIK 0001529249 · 10% owner Gaines George · CIK 0001529399 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,268,554 F2 · shares: Shares owned solely by David I. Portnoy. F5 · shares: 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. Read SEC document |
| February 26, 2018 Filed Feb 26, 2018 22:28 UTC | CBA Florida, Inc. CBAI · Entity 148644 | PurchaseCommon Stock | 940,000 | $0.00 | $4,324.00 |
DisclosureSEC source: 0000899243-18-005508 · doc4.xml · nonDerivative · entry 3 CRYO CELL INTERNATIONAL INC · CIK 0000862692 · 10% owner PORTNOY DAVID · CIK 0001315416 · 10% owner Portnoy Mark L. · CIK 0001529249 · 10% owner Gaines George · CIK 0001529399 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,475,259 F2 · balance_after: Shares owned solely by David I. Portnoy F5 · balance_after: 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. Read SEC document |
| February 22, 2018 Filed Feb 26, 2018 22:28 UTC | CBA Florida, Inc. CBAI · Entity 148644 | PurchaseCommon Stock | 261,655 | $0.00 | $1,098.95 |
DisclosureSEC source: 0000899243-18-005508 · doc4.xml · nonDerivative · entry 2 CRYO CELL INTERNATIONAL INC · CIK 0000862692 · 10% owner PORTNOY DAVID · CIK 0001315416 · 10% owner Portnoy Mark L. · CIK 0001529249 · 10% owner Gaines George · CIK 0001529399 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,535,259 F2 · balance_after: Shares owned solely by David I. Portnoy F5 · balance_after: 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. Read SEC document |
| February 22, 2018 Filed Feb 26, 2018 22:28 UTC | CBA Florida, Inc. CBAI · Entity 148644 | PurchaseCommon Stock | 5,050 | $0.00 | $21.21 |
DisclosureSEC source: 0000899243-18-005508 · doc4.xml · nonDerivative · entry 1 CRYO CELL INTERNATIONAL INC · CIK 0000862692 · 10% owner PORTNOY DAVID · CIK 0001315416 · 10% owner Portnoy Mark L. · CIK 0001529249 · 10% owner Gaines George · CIK 0001529399 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,273,604 F2 · balance_after: Shares owned solely by David I. Portnoy F5 · balance_after: 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. Read SEC document |
| July 18, 2017 Filed Aug 29, 2017 21:01 UTC | CRYO CELL INTERNATIONAL INC CCEL · Entity 7400 | GrantStock Option · Derivative | 7,500 | $7.00 Strike: $7.00 | $52,500.00 |
DisclosureSEC source: 0000899243-17-021182 · doc4.xml · derivative · entry 8 Gaines George · CIK 0001529399 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2027-07-18 F7 · derivative.exercise_date: Stock options vest at a rate of 1/12 per month commencing on July 18, 2017. Read SEC document |
| July 18, 2017 Filed Aug 22, 2018 20:30 UTC | CRYO CELL INTERNATIONAL INC CCEL · Entity 7400 | GrantStock Options · Derivative | 7,500 | $7.00 Strike: $7.00 | $52,500.00 |
DisclosureSEC source: 0000899243-18-023026 · doc4.xml · derivative · entry 8 Gaines George · CIK 0001529399 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2027-07-18 F7 · derivative.exercise_date: Stock options vest at a rate of 1/12 per month commencing on July 18, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.