SEC Form 4 · accession 0001140361-16-082360
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward Wirth
Officer — Chief Medical Officer
Period of report
Oct 6, 2016
Accepted (ET)
Oct 11, 2016 · 7:01 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 | 2,055 | — | D | 3,415 | D | |
| Common StockF3,F4,F2 | Oct 6, 2016 | S | 3,415 | $4.1242 | D | 0 | 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 5,470 Restricted Stock Units, the grant of which was previously reported on a Form 4
- F2Excludes 5,471 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report.
- F3The shares sold were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.05 to $4.15, 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.