SEC Form 4 · accession 0001209191-16-106217
Lineage Cell Therapeutics, Inc. · LCTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Judith Segall
Officer — Vice President & Secretary · Director
Period of report
Jan 20, 2016
Accepted (ET)
Mar 4, 2016 · 6:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000876343
Table I — non-derivative securities
No Table I lines on this filing.
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 SharesF1 | $2.50 | Jan 20, 2016 | A | 25,000 | A | — | Jan 19, 2026 | Common Shares | 25,000 | 25,000 | D |
| Option to Purchase Common SharesF2 | $4.23 | holding | — | — | — | — | Mar 2, 2025 | Common Shares | 50,000 | 50,000 | D |
| Option to Purchase Common SharesF3 | $3.51 | holding | — | — | — | — | Mar 19, 2021 | Common Shares | 50,000 | 50,000 | D |
| Option to Purchase Common SharesF4 | $4.22 | holding | — | — | — | — | Feb 19, 2020 | Common Shares | 50,000 | 50,000 | D |
Explanation of responses
- F1One quarter of the options shall vest upon the completion of 12 months of continuous employment from the date of grant and the balance shall vest in 36 monthly installments upon the completion of each month of continuous employment from the first anniversary of the date of grant.
- F2One quarter of the options vested 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.