SEC Form 4 · accession 0001140361-16-048012
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pedro Lichtinger
Officer — President & CEO · Director
Period of report
Jan 18, 2016
Accepted (ET)
Jan 19, 2016 · 12:16 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)F2,F1 | $3.90 | Jan 18, 2016 | A | 200,000 | A | — | Feb 12, 2025 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1Options to purchase 45,833 shares of common stock were vested as of the date grant, and the remainder will vest on the 13th day of each month in thirty-seven (37) equal installments thereafter.
- F2These options to purchase common stock were granted by the Board of Directors of the Issuer following the forfeiture of any rights under, and the cancellation of, options to purchase 200,000 shares of common stock granted to the reporting person on February 13, 2015.