SEC Form 4 · accession 0000919574-17-007346
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Oct 16, 2017
Accepted (ET)
Oct 18, 2017 · 5:34 pm EDT
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 StockF1 | Oct 16, 2017 | P | 1,592,308 | $2.60 | A | 5,292,156 | D | |
| Series A Common StockF2 | Oct 16, 2017 | P$0 | 0 | $0.00 | A | 5,292,156 | I | Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.
- F2The 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.