SEC Form 5/A · accession 0001209191-16-099609
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
Judith Segall
Officer — Vice President & Secretary · Director
Period of report
Dec 31, 2015
Accepted (ET)
Feb 17, 2016 · 9:12 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 valueF1,F2 | Jan 5, 2015 | G | 1,500 | $4.11 | D | 593,145 | 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 SharesF3 | $4.23 | holding | — | — | — | — | Mar 2, 2025 | Common Shares | 50,000 | 50,000 | D |
| Option to Purchase Common SharesF4 | $3.51 | holding | — | — | — | — | Mar 19, 2021 | Common Shares | 50,000 | 50,000 | D |
| Option to Purchase Common SharesF5 | $4.22 | holding | — | — | — | — | Feb 19, 2020 | Common Shares | 50,000 | 50,000 | D |
Explanation of responses
- F1On January 5, 2015, Ms. Segall gifted 1,500 common shares to a charitable organization.
- F2Does not include shares that may be acquired upon the exercise of certain stock options.
- F3One 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.
- F41/48th of the number of options will vest and become exercisable at the end of each full month of employment after March 20, 2014.
- F51/48th of the number of options will vest and become exercisable at the end of each full month of employment after January 1, 2013.