SEC Form 4 · accession 0001140361-15-040015
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katharine E. Spink
Officer — Chief Operating Officer
Period of report
Nov 4, 2015
Accepted (ET)
Nov 6, 2015 · 4:15 pm EST
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 Options (right to buy)F1 | $5.45 | Nov 4, 2015 | A | 100,000 | A | Nov 4, 2015 | Nov 3, 2022 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1The stock options vest in quarterly installments over four years, with the first vesting to occur on December 31, 2015.