SEC Form 4 · accession 0001019687-16-005519

International Stem Cell CORP · ISCO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director · 10% Owner

Period of report

Mar 15, 2016

Accepted (ET)

Mar 18, 2016 · 4:29 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001355790

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series I-2 Preferred Stock^F1	$1.75	Mar 15, 2016	P	4,310	D	—	—	Common Stock	2,462,856	4,310	D
Series A Warrant (Right to Buy)^F2,F4	$3.64	Mar 15, 2016	P	2,462,856	D	Mar 15, 2016	Mar 15, 2021	Common Stock	2,462,856	2,462,856	D
Series B Warrant (Right to Buy)^F3,F4	$1.75	Mar 15, 2016	P	2,462,856	D	Mar 15, 2016	Sep 15, 2016	Common Stock	2,462,856	2,462,856	D
Series C Warrant (Right to Buy)^F3,F4	$1.75	Mar 15, 2016	P	2,462,856	D	Mar 15, 2016	Mar 15, 2017	Common Stock	2,462,856	2,462,856	D

F1The Series I-2 Preferred Stock is convertible into common stock at any time at an initial conversion price of $1.75 per share. The conversion price is subject to adjustments in the event of certain transactions.
F2Exercise price is subject to adjustment as defined in the warrant agreement, and is initially set at $3.64 per share.
F3Exercise price is subject to adjustment as defined in the warrant agreement, and is initially set at $1.75 per share.
F4Assuming full exercise of the Warrants. Number of underlying securities issuable under the warrants is subject to a 4.99% beneficial ownership limitation; as defined in the warrant agreement.