Filing Details
- Accession Number:
- 0001140361-16-087413
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-21 16:43:00
- Reporting Period:
- 2016-11-17
- Filing Date:
- 2016-11-21
- Accepted Time:
- 2016-11-21 16:43:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1457130 | E. Katharine Spink | 6300 Dumbarton Circle Fremont CA 94555 | Chief Operating Officer | 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 | 2016-11-17 | 2,500 | $2.34 | 2,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-17 | 2,500 | $5.00 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Options to Purchase Common Stock | Acquisiton | 2016-11-17 | 2,500 | $0.00 | 2,500 | $2.34 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 197,500 | 2013-03-10 | 2020-03-09 | No | 4 | M | Direct |
Footnotes
- The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person.
- Excludes 7,658 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report.
Billionaire Hedge Funds
