SEC Form 4 · accession 0001209191-17-043813

Lineage Cell Therapeutics, Inc. · LCTX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jul 1, 2017

Accepted (ET)

Jul 5, 2017 · 8:22 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 value^F1	holding	—	—		—	32,050	I	see footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option to Purchase Common Shares^F2	$3.15	Jul 1, 2017	A	20,000	A	—	Jun 30, 2022	Common Shares	20,000	20,000	D
Option to Purchase Common Shares^F3	$2.72	holding	—	—	—	—	Jun 30, 2021	Common Shares	20,000	20,000	D
Option to Purchase Common Shares^F4	$3.57	holding	—	—	—	—	Jun 30, 2020	Common Shares	20,000	20,000	D
Option to Purchase Common Shares^F5	$3.11	holding	—	—	—	—	Jun 30, 2019	Common Shares	20,000	20,000	D
Option to Purchase Common Shares^F6	$2.86	holding	—	—	—	—	Apr 10, 2019	Common Shares	20,000	20,000	D

F1All shares are owned by Schlachet Management Ltd., a privately held company of which Mr. Schlachet is the sole shareholder, chief executive officer, and director.
F2Will become exercisable in four equal quarterly installments after the date of grant on July 1, 2017 based upon continued service on the board of directors.
F3Became exercisable in four equal quarterly installments after the date of grant on July 1, 2016.
F4Became exercisable in four equal quarterly installments after the date of grant on July 1, 2015.
F5Became exercisable in four equal quarterly installments after the date of grant on July 1, 2014.
F6Became exercisable in four equal quarterly installments after the date of grant on April 11, 2014.