SEC Form 4 · accession 0000919574-15-006938
Lineage Cell Therapeutics, Inc. · LCTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
BROADWOOD PARTNERS LP
Director · 10% Owner
BROADWOOD CAPITAL INC
10% Owner
Neal C Bradsher
Director · 10% Owner
Period of report
Sep 14, 2015
Accepted (ET)
Sep 16, 2015 · 5:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000876343
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Sep 14, 2015 | J | 2,431,611 | $3.29 | A | 20,264,396 | D | |
| Common StockF3 | Sep 14, 2015 | J | 0 | $0.00 | A | 20,264,396 | I | See Footnote |
| Common StockF4 | holding | — | — | — | 62,908 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities were purchased pursuant to a stock purchase agreement entered into as of September 14, 2015 by and between BioTime, Inc. and Broadwood Partners, L.P.
- F2These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.
- F3The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F4These securities are owned by Neal C. Bradsher, who is a Reporting Person.