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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1572552	Asterias Biotherapeutics Inc.	NONE	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1278386	Broadwood Partners, L.p.	C/O Broadwood Capital Inc. 724 Fifth Avenue, 9Th Floor New York NY 10019	No	No	No	Yes
1278387	Broadwood Capital Inc	724 Fifth Avenue, 9Th Floor New York NY 10019	No	No	No	Yes
1278388	C Neal Bradsher	C/O Broadwood Capital Inc. 724 Fifth Avenue, 9Th Floor New York NY 10019	No	No	No	Yes

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Series A Common Stock	Acquisiton	2017-10-16	1,592,308	$2.60	5,292,156	No	4	P	Direct
Series A Common Stock	Acquisiton	2017-10-16	0	$0.00	5,292,156	No	4	P	Indirect	Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	Footnote

Footnotes

These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.
The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.