SEC Form 4 · accession 0001019687-16-007344
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
Aug 22, 2016
Accepted (ET)
Aug 23, 2016 · 2:22 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 | Aug 22, 2016 | P | 154,285 | $1.75 | A | 1,021,436 | 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 B Warrant (Right to Buy) | $1.75 | Aug 22, 2016 | X | 154,285 | D | Mar 15, 2016 | Sep 15, 2016 | Common Stock | 154,285 | 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.