SEC Form 4 · accession 0001140361-18-029804
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 21, 2018
Accepted (ET)
Jun 25, 2018 · 4:42 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 | $1.75 | Jun 21, 2018 | A | 20,000 | A | — | Jun 21, 2028 | Common Stock | 20,000 | 20,000 | D |
| Stock OptionsF2 | $3.70 | holding | — | — | — | — | Jun 26, 2027 | Common Stock | 20,000 | 20,000 | D |
| Stock OptionsF3 | $3.64 | holding | — | — | — | — | Feb 28, 2026 | Common Stock | 375,000 | 375,000 | D |
Explanation of responses
- F1The stock options vest equally over the next four quarters, beginning on the June 30, 2018 contingent upon continued service on the Board of Directors.
- F2Subject 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.
- F3The stock options vested and are exercisable.