SEC Form 5/A · accession 0001209191-16-099605

Lineage Cell Therapeutics, Inc. · LCTX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 5/A). It replaces an earlier filing for the same period.

Reporting owner

Officer — See Remarks · Director · 10% Owner

Period of report

Dec 31, 2015

Accepted (ET)

Feb 17, 2016 · 8:57 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 Shares, no par value^F1,F2	Dec 1, 2015	G	6,500	—	D	5,931,555	D
Common Shares, no par value^F3	Dec 1, 2015	G	55,800	—	D	1,451,105	I	By Greenbelt Corp.
Common Shares, no par value	holding	—	—		—	375,351	I	By Greenway Partners, LP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option to Purchase Common Shares^F4	$5.13	holding	—	—	—	—	Jun 30, 2016	Common Shares	50,000	50,000	D
Option to Purchase Common Shares^F5	$4.60	holding	—	—	—	—	Jun 30, 2017	Common Shares	50,000	50,000	D
Option to Purchase Common Shares^F6	$4.13	holding	—	—	—	—	Jun 30, 2018	Common Shares	50,000	50,000	D
Option to Purchase Common Shares^F7	$3.11	holding	—	—	—	—	Jun 30, 2019	Common Shares	50,000	50,000	D
Option to Purchase Common Shares^F8	$3.57	holding	—	—	—	—	Jun 30, 2020	Common Shares	50,000	50,000	D

F1During December 2015, Mr. Kingsley gifted 6,500 common shares.
F2Does not include shares that Mr. Kingsley may acquire through the exercise of certain options.
F3During December 2015, Greenbelt Corp. gifted a total of 55,800 common shares to charitable organizations which has been reported separately by Greenbelt.
F412,500 options became exercisable on September 30, 2011; December 31, 2011; March 31, 2012; and June 30, 2012.
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, 2013; December 31, 2013; March 31, 2014; and June 30, 2014.
F712,500 options became exercisable on September 30, 2014; December 31, 2014; March 31, 2015, and June 30, 2015.
F812,500 options became exercisable on September 30, 2015 and December 31, 2015, and the remaining 25,000 options will become exercisable in 2 equal quarterly installments based upon continued service on the board of directors.