SEC Form 4 · accession 0001209191-17-029046
Lineage Cell Therapeutics, Inc. · LCTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael D West
Officer — Co-Chief Executive Officer · Director
Period of report
Apr 10, 2017
Accepted (ET)
May 1, 2017 · 8:58 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 valueF1 | Apr 10, 2017 | M | 6,250 | $0.00 | A | 882,237 | D | |
| Common Shares, no par valueF1 | Apr 10, 2017 | F | 2,348 | $3.33 | D | 879,889 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3 | $0.00 | Apr 10, 2017 | M | 6,250 | D | — | — | Common Shares | 6,250 | 18,750 | D |
Explanation of responses
- F1Does not include 18,750 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options.
- F2Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 6,250 Restricted Stock Units, the grant of which was previously reported on a Form 4.
- F3Restricted Stock Units vested on April 10, 2017.