SEC Form 4 · accession 0001140361-18-029814
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard Isador Scher
Director
Period of report
Jun 21, 2018
Accepted (ET)
Jun 25, 2018 · 4:55 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 OptionsF1 | $1.75 | Jun 21, 2018 | A | 20,000 | A | — | Jun 21, 2028 | Common Stock | 20,000 | 20,000 | D |
| Stock Options | $3.45 | holding | — | — | — | Mar 30, 2017 | Mar 29, 2027 | Common Stock | 20,000 | 20,000 | D |
| Stock Options | $4.21 | holding | — | — | — | Apr 28, 2016 | Apr 28, 2026 | 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.