11/07/2025 | Press release | Distributed by Public on 11/07/2025 06:41
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| 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 control number. | |||
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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Non Qualified Stock Option (right to buy) | 09/16/2026 | 09/16/2035 | Common Stock | 25,327 | $5.9 | D | |
| Non Qualified Stock Option (right to buy) | 09/16/2027 | 09/16/2035 | Common Stock | 25,327 | $5.9 | D | |
| Non Qualified Stock Option (right to buy) | 09/16/2028 | 09/16/2035 | Common Stock | 25,329 | $5.9 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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te Boekhorst Paul Francis Olivier C/O IMMUCELL CORPORATION 56 EVERGREEN DRIVE PORTLAND, ME 04103 |
X | President and CEO | ||
| /s/ Timothy C. Fiori Attorney-in-Fact | 11/07/2025 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(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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Remarks: Option grant made to Mr. te Boekhorst at the time he and the Issuer entered into an offer letter outlining the tentative terms of his employment as President and CEO. Option granted as a nonqualified stock option within the meaning of the Internal Revenue Code. Option vests in 3 increments as shown in the foregoing table. |
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