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3 Form - Initial statement of beneficial ownership of securities - GRAY MARY ANN (0001261974) (Reporting)

SEC FORM 3SEC Form 3
FORM 3UNITED 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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1. Name and Address of Reporting Person*
GRAY MARY ANN

(Last)(First)(Middle)
20271 GOLDENROD LANE, 2ND FLOOR

(Street)
GERMANTOWNMD20876

(City)(State)(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/19/2019
3. Issuer Name and Ticker or Trading Symbol
Neuralstem, Inc. [ CUR ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock(1)7,355D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Common Stock Purchase Option(2)07/19/201907/01/2029Common Stock4,954(2)5.9D
Restricted Stock Units(3)07/19/2019(4) (4)Common Stock4,904(4)(3)D
Explanation of Responses:
1. The shares represented are restricted stock grants pursuant to 45% of compensatory Annual Grant for director services equal to $100,000. The shares vest quarterly on 9/30/19, 12/31/19, 3/31/,20 and 6/30/20.
2. Represents 25% of compensatory Annual Grant for director services equal to $100,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.
3. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
4. Represents 30% of compensatory Annual Grant for director services of $100,000. The RSU's vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.
/s/ Mary Ann Gray10/11/2019
** Signature of Reporting PersonDate
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 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).
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.