Companies 0 See All

Hedge Funds 0 See All

Insiders 0 See All

Institutional Investors 0 See All

Click here to see all results for

Home > Insider Trading > Filing (0001140361-16-065866)

Filing Details

Accession Number:: 0001140361-16-065866
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-05-17 10:58:11
Reporting Period:: 2016-05-13

Filing Date:: 2016-05-17
Accepted Time:: 2016-05-17 10:58:11
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1572552	Asterias Biotherapeutics Inc.	AST	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1223697	M Don Bailey	6300 Dumbarton Circle Fremont CA 94555		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	88,235	$3.39	88,235	No	4	P	Direct

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

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants to purchase Common Stock	Acquisiton	2016-05-13	44,117	$0.01	44,117	$4.37

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
44,117	2016-05-13	2021-05-13	No	4	P	Direct

Footnotes

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.