SEC Form 4 · accession 0001209191-15-059834
Lineage Cell Therapeutics, Inc. · LCTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alfred D Kingsley
Officer — See Remarks · Director · 10% Owner
Period of report
Jul 1, 2015
Accepted (ET)
Jul 6, 2015 · 8:36 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 Shares, no par valueF1 | holding | — | — | — | 6,038,055 | D | ||
| Common Shares, no par value | holding | — | — | — | 1,506,905 | I | By Greenbelt Corp. | |
| Common Shares, no par value | holding | — | — | — | 375,351 | I | By Greenway Partners, LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common SharesF2 | $3.57 | Jul 1, 2015 | A | 50,000 | A | — | Jun 30, 2020 | Common Shares | 50,000 | 50,000 | D |
| Option to Purchase Common SharesF3 | $3.11 | holding | — | — | — | — | Jun 30, 2019 | Common Shares | 50,000 | 50,000 | D |
| Option to Purchase Common SharesF4 | $4.13 | holding | — | — | — | — | Jun 30, 2018 | Common Shares | 50,000 | 50,000 | D |
| Option to Purchase Common SharesF5 | $4.60 | holding | — | — | — | — | Jun 30, 2017 | Common Shares | 50,000 | 50,000 | D |
| Option to Purchase Common SharesF6 | $5.13 | holding | — | — | — | — | Jun 30, 2016 | Common Shares | 50,000 | 50,000 | D |
| Option to Purchase Common SharesF7 | $5.45 | holding | — | — | — | — | Aug 9, 2015 | Common Shares | 50,000 | 50,000 | D |
Explanation of responses
- F1Does not include shares that Mr. Kingsley may acquire through the exercise of certain options.
- F2Will become exercisable in four equal quarterly installments based upon continued service on the board of directors.
- F3Became exercisable in four equal quarterly installments after the date of grant on July 1, 2014.
- F412,500 options became exercisable on September 30, 2013; December 31, 2013; March 31, 2014; and June 30, 2014.
- F512,500 options became exercisable on September 30, 2012; December 31, 2012; March 31, 2013; and June 30, 2013.
- F612,500 options became exercisable on September 30, 2011; December 31, 2011; March 31, 2012; and June 30, 2012.
- F712,500 options became exercisable on September 30, 2010; December 31, 2010; March 31, 2011; and June 30, 2011.
Remarks
Mr. Kingsley is Executive Chairman of certain BioTime subsidiaries.