SEC Form 4 · accession 0001140361-15-040610
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Georgia Erbez
Officer — Exec VP & CFO
Period of report
Nov 9, 2015
Accepted (ET)
Nov 12, 2015 · 6:09 am 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 | $5.16 | Nov 9, 2015 | A | 380,000 | A | — | Nov 8, 2022 | Common Stock | 380,000 | 380,000 | D |
Explanation of responses
- F1The option will vest 25% on the one-year anniversary of the grant date, and the remainder will vest monthly in thirty-six (36) equal installments thereafter.