Filing Details
- Accession Number:
- 0001209191-17-047197
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-02 18:27:35
- Reporting Period:
- 2017-07-31
- Filing Date:
- 2017-08-02
- Accepted Time:
- 2017-08-02 18:27:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 876343 | Biotime Inc | BTX | Biological Products, (No Disgnostic Substances) (2836) | 943127919 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1229339 | D Alfred Kingsley | 150 E. 57Th Street New York NY 10022 | See Remarks | Yes | 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 Shares, No Par Value | Disposition | 2017-07-31 | 150,000 | $2.80 | 5,781,555 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares, No Par Value | 1,143,346 | Indirect | By Greenbelt Corp. |
| Common Shares, No Par Value | 375,351 | Indirect | By Greenway Partners, LP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Shares | Option to Purchase Common Shares | $3.15 | 2022-06-30 | 50,000 | 50,000 | Direct | |
| Common Shares | Option to Purchase Common Shares | $2.72 | 2021-06-30 | 50,000 | 50,000 | Direct | |
| Common Shares | Option to Purchase Common Shares | $3.57 | 2020-06-30 | 50,000 | 50,000 | Direct | |
| Common Shares | Option to Purchase Common Shares | $3.11 | 2019-06-30 | 50,000 | 50,000 | Direct | |
| Common Shares | Option to Purchase Common Shares | $4.13 | 2018-06-30 | 50,000 | 50,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-06-30 | 50,000 | 50,000 | Direct |
| 2021-06-30 | 50,000 | 50,000 | Direct |
| 2020-06-30 | 50,000 | 50,000 | Direct |
| 2019-06-30 | 50,000 | 50,000 | Direct |
| 2018-06-30 | 50,000 | 50,000 | Direct |
Footnotes
- The securities were sold in a private transaction. Substantially all of the sale proceeds were invested in AgeX Therapeutics, Inc., a new subsidiary of BioTime.
- Does not include shares that Mr. Kingsley may acquire through the exercise of certain options.
- Will become exercisable in four equal quarterly installments after the date of grant on July 1, 2017 based upon continued service on the board of directors.
- Became exercisable in four equal quarterly installments after the date of grant on July 1, 2016.
- Became exercisable in four equal quarterly installments after the date of grant on July 1, 2015.
- Became exercisable in four equal quarterly installments after the date of grant on July 1, 2014.
- Became exercisable in four equal quarterly installments after the date of grant on July 1, 2013.
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