SEC Form 4 · accession 0001140361-16-087951
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
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 4:30 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 23, 2016 | M | 2,500 | $2.34 | A | 2,500 | D | |
| Common StockF1,F3,F2 | Nov 23, 2016 | S | 2,500 | $5.41 | 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 23, 2016 | M | 2,500 | A | Mar 10, 2013 | Mar 9, 2020 | Common Stock | 2,500 | 195,000 | D |
Explanation of responses
- F1The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.
- F2Excludes 7,658 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 $5.40 to $5.45, 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.