Filing Details
- Accession Number:
- 0001209191-13-053451
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-20 20:43:39
- Reporting Period:
- 2013-11-18
- Filing Date:
- 2013-11-20
- Accepted Time:
- 2013-11-20 20:43:39
- 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 |
|---|---|---|---|---|---|---|---|
| 900815 | Phd P William Tew | 1301 Harbor Bay Parkway Alameda CA 94502 | Chief Commercial Officer | No | Yes | 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 Shares, No Par Value | Disposition | 2013-11-18 | 5,000 | $3.77 | 42,125 | No | 4 | S | Direct | |
| Common Shares, No Par Value | Disposition | 2013-11-18 | 5,000 | $3.76 | 37,125 | No | 4 | S | Direct | |
| Common Shares, No Par Value | Disposition | 2013-11-20 | 3,860 | $3.73 | 33,265 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | $4.22 | 2020-02-19 | 100,000 | 100,000 | Direct | |
| Common Shares | Option to Purchase Common Shares | $4.17 | 2018-10-02 | 3,850 | 3,850 | Direct | |
| Common Shares | Option to Purchase Common Shares | $7.47 | 2018-03-20 | 25,000 | 25,000 | Direct | |
| Common Shares | Warrant to Purchase Common Shares | $10.00 | 2011-03-21 | 2014-05-02 | 29,247 | 29,247 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-02-19 | 100,000 | 100,000 | Direct |
| 2018-10-02 | 3,850 | 3,850 | Direct |
| 2018-03-20 | 25,000 | 25,000 | Direct |
| 2014-05-02 | 29,247 | 29,247 | Direct |
Footnotes
- The price of $3.7702 per share represents a weighted average of prices ranging from $3.77 to $3.78 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
- Does not include shares that may be acquired upon the exercise of certain stock options, and shares that may be acquired upon the exercise of certain warrants.
- The price of $3.7615 per share represents a weighted average of prices ranging from $3.75 to $3.77 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
- The price of $3.7305 per share represents a weighted average of prices ranging from $3.73 to $3.74 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
- 1/48th of the number of options will vest and become exercisable at the end of each full month of employment after January 1, 2013.
- 1/48th of the number of options will vest and become exercisable at the end of each full month of employment after October 4, 2011.
- 1/48th of the number of options will vest and become exercisable at the end of each full month of employment after March 21, 2011.
Billionaire Hedge Funds
