Filing Details
- Accession Number:
- 0000919574-13-003753
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-06 20:15:16
- Reporting Period:
- 2013-06-04
- Filing Date:
- 2013-06-06
- Accepted Time:
- 2013-06-06 19:15:16
- 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 |
---|---|---|---|---|---|---|---|
1278386 | Broadwood Partners Lp | C/O Broadwood Capital Inc. 724 Fifth Avenue, 9Th Floor New York NY 10019 | Yes | No | Yes | No | |
1278387 | Broadwood Capital Inc | 724 Fifth Avenue, 9Th Floor New York NY 10019 | No | No | Yes | No | |
1278388 | C Neal Bradsher | C/O Broadwood Capital Inc. 724 Fifth Avenue, 9Th Floor New York NY 10019 | Yes | No | Yes | 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 | 2013-06-04 | 200,000 | $0.00 | 9,022,220 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-06-04 | 0 | $0.00 | 9,022,220 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Shares | Option to Purchase Common Shares | Acquisiton | 2013-06-04 | 50,000 | $0.00 | 50,000 | $5.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
50,000 | 2018-06-04 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 42,908 | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Shares | Option to Purchase Common Shares | $4.60 | 2017-06-30 | 20,000 | 20,000 | Direct | |
Common Shares | Option to Purchase Common Shares | $5.13 | 2016-06-30 | 20,000 | 20,000 | Direct | |
Common Shares | Option to Purchase Common Shares | $5.45 | 2015-08-09 | 20,000 | 20,000 | Direct | |
Common Shares | Option to Purchase Common Shares | $2.30 | 2014-07-01 | 20,000 | 20,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-06-30 | 20,000 | 20,000 | Direct |
2016-06-30 | 20,000 | 20,000 | Direct |
2015-08-09 | 20,000 | 20,000 | Direct |
2014-07-01 | 20,000 | 20,000 | Direct |
Footnotes
- The reported securities were purchased in a private transaction. Under the terms of the private transaction, Broadwood Partners, L.P. purchased 200,000 common shares and 50,000 options to purchase 50,000 common shares. Each common share and one quarter of each option were purchased for an aggregate price of $4.155.
- 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. Each of Broadwood Capital, Inc. and Neal C. Bradsher disclaim beneficial ownership of the reported securities except to the extent of its or his 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.
- These securities are owned by Neal C. Bradsher, who is a Reporting Person.
- These options will vest and become exercisable in four quarterly installments, provided that Neal C. Bradsher remains a director on the last day of each quarter.
- These options are exercisable immediately.