SEC Form 4 · accession 0000919574-17-007337
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
Oct 13, 2017
Accepted (ET)
Oct 17, 2017 · 5:58 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 StockF1,F2 | Oct 13, 2017 | P | 2,692,307 | $2.60 | A | 29,971,561 | D | |
| Common StockF3 | Oct 13, 2017 | P$0 | 0 | $0.00 | A | 29,971,561 | I | Footnote |
| Common StockF4 | holding | — | — | — | 62,908 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On October 13, 2017, Broadwood Partners, L.P. agreed to purchase 2,692,307 shares of the Issuer's common stock in the Issuer's current public offering of 9,615,385 shares at the public offering price of $2.60 per share.
- 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.