SEC Form 4 · accession 0001140361-16-079565
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
Sep 8, 2016
Accepted (ET)
Sep 12, 2016 · 5:00 pm 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,F2 | Sep 8, 2016 | S | 9,728 | $3.50 | D | 9,608 | D | |
| Common StockF1,F3,F2 | Sep 9, 2016 | S | 9,608 | $3.5376 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.
- F2Excludes 15,317 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.50 to $3.59, inclusive. The reporting person undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.