SEC Form 4 · accession 0001140361-16-082359
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jane Lebkowski
Officer — President of R&D
Period of report
Oct 6, 2016
Accepted (ET)
Oct 11, 2016 · 7:00 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,F2 | Oct 6, 2016 | F | 2,537 | $0.00 | D | 13,121 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 6,752 Restricted Stock Units, the grant of which was previously reported on a Form 4.
- F2Excludes 6,752 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report.