SEC Form 4 · accession 0001209191-18-020724
Lineage Cell Therapeutics, Inc. · LCTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aditya P. Mohanty
Officer — Co-Chief Executive Officer · Director
Period of report
Mar 15, 2018
Accepted (ET)
Mar 19, 2018 · 7:04 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 | holding | — | — | — | 95,252 | 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 SharesF2 | $2.54 | Mar 15, 2018 | A | 200,000 | A | — | Mar 14, 2028 | Common Shares | 200,000 | 200,000 | D |
Explanation of responses
- F1Does not include 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.
- F2One quarter of the options shall vest upon the completion of continuous service from the date of grant until February 1, 2019, and the balance of the options shall vest in 36 equal monthly installments, commencing on February 1, 2019, based upon continued service.