SEC Form 4 · accession 0001140361-17-014405
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
Mar 30, 2017
Accepted (ET)
Apr 3, 2017 · 4:59 pm 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 Stock | Mar 30, 2017 | A | 18,209 | $0.00 | A | 18,209 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $3.45 | Mar 30, 2017 | A | 150,000 | A | Mar 30, 2017 | Mar 29, 2027 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1The stock options reported herein vest as follows: one quarter of the options vest upon on the one year anniversary of the date of grant, and the remaining options vest in 36 equal monthly installments thereafter.