SEC Form 4 · accession 0001140361-17-026470
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael H. Mulroy
Officer — President and CEO · Director
Period of report
Jun 26, 2017
Accepted (ET)
Jun 28, 2017 · 4:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001572552
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | $3.70 | Jun 26, 2017 | A | 800,000 | A | — | Jun 26, 2027 | Common Stock | 800,000 | 800,000 | D |
Explanation of responses
- F1Subject to Mr. Mulroy's continued employment with the Company, the stock options vest in equal monthly installments over 48 months commencing on July 31, 2017. The stock options are exercisable upon vesting.