SEC Form 4 · accession 0001140361-17-026471
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen LaHue Cartt
Director
Period of report
Jun 26, 2017
Accepted (ET)
Jun 28, 2017 · 4:05 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 | holding | — | — | — | 292,783 | 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 | $3.70 | Jun 26, 2017 | A | 20,000 | A | — | Jun 26, 2027 | Common Stock | 20,000 | 20,000 | D |
| Stock OptionsF2 | $3.64 | holding | — | — | — | — | Feb 28, 2026 | Common Stock | 375,000 | 375,000 | D |
Explanation of responses
- F1Subject to Mr. Cartt's continued service on the Board of the Company, the stock options over four equal quarterly installments beginning on July 1, 2017. The stock options are exercisable upon vesting.
- F2Of such stock options, 62,500 have not vested as of the date hereof.