SEC Form 4 · accession 0001140361-17-001564
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
Jan 9, 2017
Accepted (ET)
Jan 11, 2017 · 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 StockF1 | Jan 9, 2017 | F | 2,056 | — | D | 3,415 | D | |
| Common StockF2 | Jan 9, 2017 | S | 3,415 | $4.603 | 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 5,471 Restricted Stock Units, the grant of which was previously reported on a Form 4.
- F2The shares sold were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.