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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2017-01-11 16:30:14
Reporting Period:
Filing Date:
Accepted Time:
2017-01-11 16:30:14
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 Disposition 2017-01-09 2,878 $0.00 4,781 No 4 F Direct
Common Stock Disposition 2017-01-09 4,781 $4.60 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F Direct
No 4 S Direct
  1. Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 7,659 Restricted Stock Units, the grant of which was previously reported on a Form 4.
  2. The shares sold were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.