SEC Form 4 · accession 0001140361-16-087418
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
Nov 17, 2016
Accepted (ET)
Nov 21, 2016 · 4:48 pm EST
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 StockF2 | Nov 17, 2016 | M | 2,500 | $2.34 | A | 2,500 | D | |
| Common StockF1,F2 | Nov 17, 2016 | S | 2,500 | $5.00 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common Stock | $2.34 | Nov 17, 2016 | M | 2,500 | A | Mar 10, 2013 | Mar 9, 2020 | Common Stock | 2,500 | 197,500 | D |
Explanation of responses
- F1The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.
- 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.