SEC Form 4 · accession 0001140361-18-029809
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Natale S Ricciardi
Director
Period of report
Jun 21, 2018
Accepted (ET)
Jun 25, 2018 · 4:50 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 |
|---|---|---|---|---|---|---|---|---|
| Series A Common Stock | holding | — | — | — | 19,706 | 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 Option | $3.45 | holding | — | — | — | Mar 31, 2017 | Mar 29, 2027 | Common Stock | 20,000 | 20,000 | D |
| Warrants | $4.37 | holding | — | — | — | May 13, 2016 | May 13, 2021 | Common Stock | 7,353 | 7,353 | D |
| Stock Options | $3.64 | holding | — | — | — | Mar 31, 2016 | Feb 28, 2026 | Common Stock | 20,000 | 20,000 | D |
| Stock Option | $6.22 | holding | — | — | — | Jul 9, 2015 | Mar 31, 2020 | Common Stock | 20,000 | 20,000 | D |
| Stock Option | $2.34 | holding | — | — | — | Aug 19, 2014 | Mar 31, 2019 | Common Stock | 20,000 | 20,000 | 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.