# EDGAR Filing Document

**Accession Number:** 0001384044
**File Stem:** 0001213900-23-020267
**Filing Date:** 2023-3
**Character Count:** 7959
**Document Hash:** a65266fff5863e4dde6b2cfc91448744
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-23-020267.hdr.sgml**: 20230315

**ACCESSION NUMBER**: 0001213900-23-020267

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230313

**FILED AS OF DATE**: 20230315

**DATE AS OF CHANGE**: 20230315

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Tomsche David Scott
- **CENTRAL INDEX KEY:** 0001384044

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-12934
- **FILM NUMBER:** 23734813

**MAIL ADDRESS:**
- **STREET 1:** 56 EVERGREEN DRIVE
- **CITY:** PORTLAND
- **STATE:** ME
- **ZIP:** 04103
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** IMMUCELL CORP /DE/
- **CENTRAL INDEX KEY:** 0000811641
- **STANDARD INDUSTRIAL CLASSIFICATION:** IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835]
- **IRS NUMBER:** 010382980
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 56 EVERGREEN DR
- **CITY:** PORTLAND
- **STATE:** ME
- **ZIP:** 04103
- **BUSINESS PHONE:** 2078782770

**MAIL ADDRESS:**
- **STREET 1:** 56 EVERGREEN DRIVE
- **CITY:** PORTLAND
- **STATE:** ME
- **ZIP:** 04103

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Tomsche David Scott<br><sub>(Last) (First) (Middle)</sub><br>C/O IMMUCELL CORPORATION<br>56 EVERGREEN DRIVE<br><sub>(Street)</sub><br>PORTLAND, ME 04103<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-13 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>IMMUCELL CORP /DE/ [ ICCC ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 400 | A | $5.20 | 96826 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 300 | A | $5.24 | 97126 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 200 | A | $5.25 | 97326 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 900 | A | $5.37 | 98226 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 80 | A | $5.34 | 98306 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 3 | A | $5.24 | 98309 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 7 | A | $5.24 | 98316 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 10 | A | $5.23 | 98326 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 100 | A | $5.24 | 98426 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-13 |  | D |  | 100 | A | $5.24 | 98526 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 71 | A | $5.50 | 98597 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 309 | A | $5.50 | 98906 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 831 | A | $5.47 | 99737 | D |  |
| Common stock $0.10 per value per share | 2023-03-14 |  | D |  | 100 | A | $5.53 | 99837 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 69 | A | $5.53 | 99906 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 31 | A | $5.53 | 99937 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 69 | A | $5.53 | 100006 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 31 | A | $5.53 | 100037 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 69 | A | $5.53 | 100106 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 31 | A | $5.53 | 100137 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 31 | A | $5.53 | 100168 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 69 | A | $5.53 | 100237 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 100 | A | $5.53 | 100337 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 69 | A | $5.53 | 100406 | D |  |
| Common Stock, $0.10 per value per share | 2023-03-14 |  | D |  | 100 | A | $5.44 | 100506<sup>(1)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) 1. This figure includes 6,987 shares of common stock held by immediate family members of Dr. Tomsche.

**Signature:** /s/ Michael F Brigham Attorney-in-Fact  
**Date:** 2023-03-15

### Remarks:

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.**