Filing Details
- Accession Number:
- 0001019687-13-002730
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-07-26 20:51:05
- Reporting Period:
- 2013-07-24
- Filing Date:
- 2013-07-26
- Accepted Time:
- 2013-07-26 20:51:05
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1355790 | International Stem Cell Corp | ISCO:OB | Pharmaceutical Preparations (2834) | 204494098 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1447708 | Andrey Semechkin | C/O International Stem Cell Corp. 5950 Priestly Drive Carlsbad CA 92008 | Chief Executive Officer | Yes | Yes | 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 | 2013-07-24 | 5,998,999 | $0.15 | 18,536,799 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Warrant (Right to Buy) | Acquisiton | 2013-07-24 | 5,998,999 | $0.00 | 5,998,999 | $0.15 |
See Footnote | Series B Warrant (4) (Right to Buy) | Acquisiton | 2013-07-24 | 5,998,999 | $0.00 | 11,997,998 | $0.15 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
5,998,999 | 2013-07-24 | 2018-07-24 | No | 4 | P | Direct |
5,998,999 | 2013-07-24 | 2013-10-23 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 8,000,000 | Indirect | By Corporation |
Footnotes
- Common Stock is owned by X-Master, Inc., a New Hampshire Corporation of which the reporting person is a director and sole shareholder.
- Exercise price is initially set at $0.15 per share, subject to adjustments in the event of certain transactions as defined in the warrant agreement.
- Exercise price is subject to adjustment and is initially set at $0.15 per unit. On the Adjustment Date (as defined in the warrant agreement) the exercised price will be reduced to 80% of the closing bid price of the Issuer's common Stock on the adjustment date (if that is lower than the then current exercise price) . Additionally, the exercise price is subject to further adjustments in the event of certain transactions as defined in the warrant agreement.
- Exercisable for Units. Each Unit consists of one share of common stock of the company and one Series A Warrant.
- Assuming full exercise of the Series A Warrants issued on exercise of the Series B Warrants. Number of underlying securities issuable under the warrants is subject to a 4.999% beneficial ownership limitation; except for in the event of a fundamental transaction (as defined in the warrant agreement) the beneficial ownership limitation is set at 9.99%.