SEC Form 4 · accession 0000919574-17-002158
Lineage Cell Therapeutics, Inc. · LCTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
BROADWOOD PARTNERS, L.P.
Director · 10% Owner
BROADWOOD CAPITAL INC
10% Owner
Neal C Bradsher
Director · 10% Owner
Period of report
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 5:02 pm EST
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 StockF1 | Feb 15, 2017 | P | 2,222,222 | $2.70 | A | 27,119,254 | D | |
| Common StockF2 | Feb 15, 2017 | P$0 | 0 | $0.00 | A | 27,119,254 | I | See Footnote |
| Common StockF3 | holding | — | — | — | 62,908 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.
- F2The 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.
- F3These securities are owned by Neal C. Bradsher, who is a Reporting Person.