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Filing Details

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	2016-11-23	2,500	$2.34	2,500	No	4	M	Direct
Common Stock	Disposition	2016-11-23	2,500	$5.41	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	2016-11-23	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
195,000	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.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.40 to $5.45, inclusive. The reporting person undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.