SEC Form 4 · accession 0001209191-15-015743
Asterias Biotherapeutics, Inc. · AST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pedro Lichtinger
Officer — Chief Executive Officer · Director
Period of report
Feb 13, 2015
Accepted (ET)
Feb 18, 2015 · 9:55 pm EST
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 Option (right to buy)F1 | $3.90 | Feb 13, 2015 | A | 200,000 | A | — | Feb 12, 2025 | Series A Common Stock | 200,000 | 200,000 | D |
| Restricted Stock UnitsF2,F3 | — | Feb 13, 2015 | A | 23,932 | A | — | — | Series A Common Stock | 23,932 | 23,932 | D |
Explanation of responses
- F1These options will vest and become exercisable in 48 equal monthly installments beginning on the one month anniversary of the date of grant.
- F2Each restricted stock unit represents a contingent right to receive one share of AST Series A Common Stock.
- F3These restricted stock units vest in four equal quarterly installments beginning June 30, 2015.