SEC Form 4 · accession 0001019687-16-006813
International Stem Cell CORP · ISCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Russell Kern
Officer — EVP & Chief Scientific Officer · Director · 10% Owner
Period of report
Jun 29, 2016
Accepted (ET)
Jun 30, 2016 · 5:54 pm EDT
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 | Jun 29, 2016 | X | 12,408 | $1.75 | A | 142,009 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Warrant (Right to Buy) | $1.75 | Jun 29, 2016 | X | 12,408 | D | Oct 14, 2014 | Apr 14, 2020 | Common Stock | 12,408 | 0 | D |