SEC Form 4 · accession 0001209191-16-151321
Lineage Cell Therapeutics, Inc. · LCTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A. Knight
Officer — Sr VP, Head of Corporate Dev
Period of report
Oct 19, 2016
Accepted (ET)
Nov 18, 2016 · 8:58 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 | $3.49 | Oct 19, 2016 | A | 300,000 | A | — | Oct 18, 2026 | Common Shares | 300,000 | 300,000 | D |
Explanation of responses
- F1One quarter of the options shall vest on October 18, 2017, subject to the completion of 12 months of continuous employment from the date of grant on October 19, 2016, 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.