SEC Form 4 · accession 0000919574-15-001128
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Feb 10, 2015
Accepted (ET)
Feb 11, 2015 · 5:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001572552
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series A Common StockF2 | Feb 10, 2015 | J | 641,025 | $3.90 | A | 641,025 | D | |
| Series A Common StockF3 | Feb 10, 2015 | J | 0 | $0.00 | A | 641,025 | I | Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities were purchased pursuant to a subscription agreement entered into as of February 4, 2015 by and between Asterias Biotherapeutics, Inc. and Broadwood Partners, L.P. Pursuant to the terms of the subscription agreement, the transaction closed on February 10, 2015.
- F2These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.
- F3The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Remarks
Richard LeBuhn, Senior Vice President of Broadwood Capital, Inc., is a Director of the Issuer.