13D Filing: Biotime Inc and Asterias Biotherapeutics Inc.

Page 2 of 7 – SEC Filing

CUSIP No. 04624N 10 7
13D
1
NAMES OF REPORTING PERSONS
 BioTime, Inc.
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
94-3127919
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
3
SEC USE ONLY
4
SOURCE OF FUNDS
OO
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
OR 2(e)
6
CITIZENSHIP OR PLACE OF ORGANIZATION
California
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
7
SOLE VOTING POWER
21,747,569(1)
8
SHARED VOTING POWER
0
9
SOLE DISPOSITIVE POWER
21,747,569(1)
10
SHARED DISPOSITIVE POWER
0
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
21,747,569(1)
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
44.4%(2)
14
TYPE OF REPORTING PERSON
CO

(1)
Consists of shares of the Series A common stock, par value $0.0001 per share (“Series A Shares”), of Asterias
Biotherapeutics, Inc., a Delaware corporation (the “Company”).

 

(2)
Based on 48,952,645 Series A Shares outstanding at the close of business on March 21, 2017, as reported by the Company in its
Annual Report on Form 10-K for the year ended December 31, 2016, filed with the Securities and Exchange Commission on March 28,
2017.

 

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