SEC Form 4 · accession 0001140361-16-065860
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Natale S Ricciardi
Director
Period of report
May 13, 2016
Accepted (ET)
May 17, 2016 · 10:50 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001572552
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 13, 2016 | P | 14,706 | $3.39 | A | 19,706 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to purchase Common StockF1 | $4.37 | May 13, 2016 | P | 7,353 | A | May 13, 2016 | May 13, 2021 | Common Stock | 7,353 | 7,353 | D |
Explanation of responses
- F1The shares of common stock and warrants to purchase common stock reported herein were purchased by the Reporting Person in the Issuer's public offering of Units, which closed on May 13, 2016. Each Unit consists of one share of common stock and 0.5 of one warrant. The Reporting Person purchased each Unit at the public offering price of $3.40 per Unit.