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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1572552	Asterias Biotherapeutics Inc.	AST	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1278386	Broadwood Partners Lp	C/O Broadwood Capital Inc. 724 Fifth Avenue, 9Th Floor New York NY 10019	No	No	No	Yes
1278387	Broadwood Capital Inc	724 Fifth Avenue, 9Th Floor New York NY 10019	No	No	No	Yes
1278388	C Neal Bradsher	C/O Broadwood Capital Inc. 724 Fifth Avenue, 9Th Floor New York NY 10019	No	No	No	Yes

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Series A Common Stock	Acquisiton	2016-05-13	2,058,823	$0.00	3,699,848	No	4	P	Direct
Series A Common Stock	Acquisiton	2016-05-13	0	$0.00	3,699,848	No	4	P	Indirect	Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	Footnote

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Series A Common Stock	Warrant to Purchase Series A Common Stock	Acquisiton	2016-05-13	1,029,412	$0.00	1,029,412	$4.37
Series A Common Stock	Warrant to Purchase Series A Common Stock	Acquisiton	2016-05-13	0	$0.00	0	$4.37

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,029,412		2021-05-13	No	4	P	Direct
1,029,412		2021-05-13	No	4	P	Indirect

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Series A Common Stock	Warrant to Purchase Series A Common Stock	$5.00		2016-09-30	328,205	328,205	Direct
Series A Common Stock	Warrant to Purchase Series A Common Stock	$5.00		2016-09-30	0	328,205	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2016-09-30	328,205	328,205	Direct
2016-09-30	0	328,205	Indirect

Footnotes

A portion of the reported securities are included within 2,058,823 AST Units purchased by Broadwood Partners, L.P. for $3.40 per AST Unit. Each AST Unit consists of one share of Series A common stock and a half warrant for a total of 2,058,823 common shares and 1,029,412 warrants to purchase 1,029,412 common shares.
These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.
The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
These warrants are currently exercisable with the underlying common shares issuable 61 days following the delivery of notice of exercise to the Issuer.
These warrants are currently exercisable.