SEC Form 4 · accession 0001209191-18-051725
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
Sep 17, 2018
Accepted (ET)
Sep 19, 2018 · 9:38 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 | Sep 17, 2018 | M | 10,938 | $0.00 | A | 897,696 | D | |
| Common Shares, no par valueF1 | Sep 17, 2018 | F | 3,783 | $2.31 | D | 893,913 | 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 | Sep 17, 2018 | M | 10,938 | D | — | — | Common Shares | 10,938 | 0 | D |
Explanation of responses
- F1Does not include 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 10,938 Restricted Stock Units, the grant of which was previously reported on a Form 4.
- F3Restricted Stock Units vested on September 17, 2018.