Filing Details

Accession Number:
0001140361-16-087413
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-21 16:43:00
Reporting Period:
2016-11-17
Filing Date:
2016-11-21
Accepted Time:
2016-11-21 16:43:00
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
1457130 E. Katharine Spink 6300 Dumbarton Circle
Fremont CA 94555
Chief Operating Officer No 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 2016-11-17 2,500 $2.34 2,500 No 4 M Direct
Common Stock Disposition 2016-11-17 2,500 $5.00 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Options to Purchase Common Stock Acquisiton 2016-11-17 2,500 $0.00 2,500 $2.34
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
197,500 2013-03-10 2020-03-09 No 4 M Direct
Footnotes
  1. The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.
  2. Excludes 7,658 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report.