Filing Details

Accession Number:
0001140361-16-079564
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-09-12 17:00:39
Reporting Period:
2016-09-08
Filing Date:
2016-09-12
Accepted Time:
2016-09-12 17:00:39
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
1532558 Edward Wirth 6300 Dumbarton Circle
Fremont, CA 94555
Chief Medical 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 Stock Disposition 2016-09-08 11,581 $3.50 3,179 No 4 S Direct
Common Stock Disposition 2016-09-09 3,179 $3.58 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Footnotes
  1. The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.
  2. Excludes 10,941 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report.
  3. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.50 to $3.59, inclusive. The reporting person undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.