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Filing Details

Accession Number:
0001140361-18-037213
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-08-29 08:02:07
Reporting Period:
2018-08-27
Accepted Time:
2018-08-29 08:02:07
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
1509725 H. Michael Mulroy C/o Asterias Biotherapeutics, Inc.
6300 Dumbarton Circle
Fremont CA 94555
President And Ceo 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 2018-08-27 3,141 $1.59 97,604 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Options $1.95 2028-03-14 200,000 200,000 Direct
Common Stock Stock Options $3.70 2027-06-25 800,000 800,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2028-03-14 200,000 200,000 Direct
2027-06-25 800,000 800,000 Direct
Footnotes
  1. The shares were purchased in multiple trades at prices ranging from $1.575 to $1.60. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017.
  2. Subject to Mr. Mulroy's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was March 14, 2018. The stock options are exercisable upon vesting.
  3. Subject to Mr. Mulroy's continued employment with the Company, the stock options vest in equal monthly installments over 48 months commencing on July 31, 2017. The stock options are exercisable upon vesting.