SEC Form 4 · accession 0001140361-17-024343
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jane Lebkowski
Officer — Chief Scientific Officer
Period of report
Jun 5, 2017
Accepted (ET)
Jun 7, 2017 · 4:30 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 StockF2 | Jun 5, 2017 | F | 7,015 | $3.20 | D | 102,991 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $2.34 | holding | — | — | — | Aug 16, 2013 | Mar 9, 2020 | Common Stock | 400,000 | 400,000 | D |
| Stock OptionF4 | $3.90 | holding | — | — | — | Feb 12, 2016 | Feb 12, 2025 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF5 | $3.64 | holding | — | — | — | Feb 26, 2017 | Feb 26, 2026 | Common Stock | 165,000 | 165,000 | D |
Explanation of responses
- F1In accordance with Rule 16b-3, represents shares withheld by the Issuer to satisfy tax withholding obligation upon vesting of a previously reported restricted stock award.
- F2Includes 75,000 Restricted Stock Units to be settled in shares of Common Stock that have not vested as the date hereof.
- F3Of such stock options, 16,667 have not vested as of the date hereof.
- F4Of such stock options, 43,751 have not vested as of the date hereof.
- F5Of such stock options, 113,438 have not vested as of the date hereof.