SEC Form 4 · accession 0001140361-16-055906
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Peabody
Director
Period of report
Feb 28, 2016
Accepted (ET)
Mar 1, 2016 · 9:35 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 | $3.64 | Feb 28, 2016 | A | 20,000 | A | Feb 28, 2016 | Feb 28, 2026 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1The stock options vest over four equal quarterly installments beginning on March 31, 2016, contingent upon continued service on the Board of Directors.