Filing Details

Accession Number:
0001209191-13-053451
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-20 20:43:39
Reporting Period:
2013-11-18
Filing Date:
2013-11-20
Accepted Time:
2013-11-20 20:43:39
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
876343 Biotime Inc BTX Biological Products, (No Disgnostic Substances) (2836) 943127919
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
900815 Phd P William Tew 1301 Harbor Bay Parkway
Alameda CA 94502
Chief Commercial Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Shares, No Par Value Disposition 2013-11-18 5,000 $3.77 42,125 No 4 S Direct
Common Shares, No Par Value Disposition 2013-11-18 5,000 $3.76 37,125 No 4 S Direct
Common Shares, No Par Value Disposition 2013-11-20 3,860 $3.73 33,265 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Shares Option to Purchase Common Shares $4.22 2020-02-19 100,000 100,000 Direct
Common Shares Option to Purchase Common Shares $4.17 2018-10-02 3,850 3,850 Direct
Common Shares Option to Purchase Common Shares $7.47 2018-03-20 25,000 25,000 Direct
Common Shares Warrant to Purchase Common Shares $10.00 2011-03-21 2014-05-02 29,247 29,247 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-02-19 100,000 100,000 Direct
2018-10-02 3,850 3,850 Direct
2018-03-20 25,000 25,000 Direct
2014-05-02 29,247 29,247 Direct
Footnotes
  1. The price of $3.7702 per share represents a weighted average of prices ranging from $3.77 to $3.78 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
  2. Does not include shares that may be acquired upon the exercise of certain stock options, and shares that may be acquired upon the exercise of certain warrants.
  3. The price of $3.7615 per share represents a weighted average of prices ranging from $3.75 to $3.77 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
  4. The price of $3.7305 per share represents a weighted average of prices ranging from $3.73 to $3.74 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
  5. 1/48th of the number of options will vest and become exercisable at the end of each full month of employment after January 1, 2013.
  6. 1/48th of the number of options will vest and become exercisable at the end of each full month of employment after October 4, 2011.
  7. 1/48th of the number of options will vest and become exercisable at the end of each full month of employment after March 21, 2011.