SEC Form 4 · accession 0001140361-15-027415
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Arno
Director
Period of report
Jul 9, 2015
Accepted (ET)
Jul 13, 2015 · 4:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001572552
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $6.22 | Jul 9, 2015 | A | 20,000 | A | Jul 9, 2015 | Mar 31, 2020 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1The stock options were granted on April 1, 2015 to the Reporting Person in connection with the Reporting Person's service on the Issuer's Board of Directors, subject to shareholder approval of an increase in the number of shares issuable under the Company's 2013 Equity Incentive Plan, which occurred on July 9, 2015. The stock options vest over four equal quarterly installments on July 1, 2015, October 1, 2015, January 1, 2016 and April 1, 2016.