SEC Form 4 · accession 0001209191-15-060848
Lineage Cell Therapeutics, Inc. · LCTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Peabody
Officer — Sr. VP and CFO
Period of report
Jul 10, 2015
Accepted (ET)
Jul 14, 2015 · 9:47 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 Shares, no par valueF1 | holding | — | — | — | 315,777 | D |
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 | $3.51 | Jul 10, 2015 | A | 100,000 | A | — | Jul 9, 2025 | Common Shares | 100,000 | 100,000 | D |
| Option to Purchase Common SharesF3 | $3.51 | holding | — | — | — | — | Mar 19, 2021 | Common Shares | 100,000 | 100,000 | D |
| Option to Purchase Common SharesF4 | $4.22 | holding | — | — | — | — | Feb 19, 2020 | Common Shares | 100,000 | 100,000 | D |
Explanation of responses
- F1Does not include shares that may be acquired upon the exercise of certain stock options.
- F2One quarter of the options shall vest on March 2, 2016 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment.
- F31/48th of the number of options will vest and become exercisable at the end of each full month of employment after March 20, 2014.
- F41/48th of the number of options will vest and become exercisable at the end of each full month of employment after January 1, 2013.