Filing Details
- Accession Number:
- 0001140361-17-001563
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-11 16:30:14
- Reporting Period:
- 2017-01-09
- Filing Date:
- 2017-01-11
- Accepted Time:
- 2017-01-11 16:30:14
- 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 | 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 |
Footnotes
- 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.
- The shares sold were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.
Billionaire Hedge Funds
