SEC Form 4 · accession 0001019687-15-004347
International Stem Cell CORP · ISCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrey Semechkin
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Nov 23, 2015
Accepted (ET)
Nov 25, 2015 · 4:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001355790
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 23, 2015 | C | 211,900 | $1.7933 | A | 612,857 | D | |
| Common Stock | Nov 24, 2015 | X | 39,294 | $1.7933 | A | 652,151 | D | |
| Common StockF1 | holding | — | — | — | 53,334 | I | By Corporation |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series H-2 Preferred StockF2 | $1.7933 | Nov 23, 2015 | C | 380 | D | — | — | Common Stock | 211,900 | 0 | D |
| Series A Warrant (Right to Buy) | $1.7933 | Nov 24, 2015 | X | 39,294 | D | Oct 14, 2014 | Apr 14, 2020 | Common Stock | 39,264 | 0 | D |
Explanation of responses
- F1Common Stock is owned by X-Master, Inc., a New Hampshire Corporation of which the reporting person is a sole shareholder.
- F2The Series H-2 Preferred Stock is convertible into common stock at a conversion price of $1.7933 per share.