SEC Form 4 · accession 0001209191-16-131329
Lineage Cell Therapeutics, Inc. · LCTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen C Farrell
Director
Period of report
Jul 1, 2016
Accepted (ET)
Jul 5, 2016 · 7:42 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 vaule | holding | — | — | — | 97,450 | 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 SharesF1 | $2.72 | Jul 1, 2016 | A | 20,000 | A | — | Jun 30, 2021 | Common Shares | 20,000 | 20,000 | D |
| Option to Purchase Common SharesF2 | $3.57 | holding | — | — | — | — | Jun 30, 2020 | Common Shares | 20,000 | 20,000 | D |
| Option to Purchase Common SharesF3 | $3.11 | holding | — | — | — | — | Jun 30, 2019 | Common Shares | 20,000 | 20,000 | D |
| Option to Purchase Common SharesF4 | $4.13 | holding | — | — | — | — | Jun 30, 2018 | Common Shares | 20,000 | 20,000 | D |
| Option to Purchase Common SharesF5 | $4.12 | holding | — | — | — | — | Mar 10, 2018 | Common Shares | 20,000 | 20,000 | D |
Explanation of responses
- F1Will become exercisable in four equal quarterly installments based upon continued service on the board of directors.
- F2Became exercisable in four equal quarterly installments after the date of grant on July 1, 2015.
- F3Became exercisable in four equal quarterly installments after the date of grant on July 1, 2014.
- F4Became exercisable in four equal quarterly installments after the date of grant on July 1, 2013.
- F5Became exercisable in four equal quarterly installments after the date of grant on March 11, 2013.