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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2016-05-17 10:50:33
Reporting Period:
Filing Date:
Accepted Time:
2016-05-17 10:50:33
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1572552 Asterias Biotherapeutics Inc. AST () 4
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1107158 S Natale Ricciardi 6300 Dumbarton Circle
Fremont CA 94555
Yes No 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 Stock Acquisiton 2016-05-13 14,706 $3.39 19,706 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants to purchase Common Stock Acquisiton 2016-05-13 7,353 $0.01 7,353 $4.37
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
7,353 2016-05-13 2021-05-13 No 4 P Direct
  1. The shares of common stock and warrants to purchase common stock reported herein were purchased by the Reporting Person in the Issuer's public offering of Units, which closed on May 13, 2016. Each Unit consists of one share of common stock and 0.5 of one warrant. The Reporting Person purchased each Unit at the public offering price of $3.40 per Unit.