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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2016-11-28 16:30:23
Reporting Period:
Filing Date:
Accepted Time:
2016-11-28 16:30:23
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
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 2016-11-23 2,500 $2.34 2,500 No 4 M Direct
Common Stock Disposition 2016-11-23 2,500 $5.41 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 2016-11-23 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
195,000 2013-03-10 2020-03-09 No 4 M Direct
  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.
  3. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.40 to $5.45, 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.