Filing Details
- Accession Number:
- 0001493152-21-032897
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-12-30 17:20:46
- Reporting Period:
- 2021-12-28
- Accepted Time:
- 2021-12-30 17:20:46
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 876343 | Lineage Cell Therapeutics Inc. | LCTX | Biological Products, (No Disgnostic Substances) (2836) | 943127919 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1771711 | S. Gary Hogge | 2173 Salk Avenue, Suite 200 Carlsbad CA 92008 | Svp,Clinical & Medical Affairs | 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 | Acquisiton | 2021-12-28 | 185,000 | $0.69 | 213,445 | No | 4 | M | Direct | |
| Common Shares, No Par Value | Acquisiton | 2021-12-28 | 236,899 | $2.11 | 450,344 | No | 4 | M | Direct | |
| Common Shares, No Par Value | Acquisiton | 2021-12-28 | 79,689 | $1.14 | 530,033 | No | 4 | M | Direct | |
| Common Shares, No Par Value | Disposition | 2021-12-28 | 501,588 | $2.45 | 28,445 | No | 4 | S | Direct | |
| Common Shares, No Par Value | Acquisiton | 2021-12-29 | 9,250 | $0.69 | 37,695 | No | 4 | M | Direct | |
| Common Shares, No Par Value | Disposition | 2021-12-29 | 9,250 | $2.49 | 28,445 | No | 4 | S | Direct | |
| Common Shares, No Par Value | Disposition | 2021-12-29 | 28,445 | $2.44 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Shares | Employee Stock Option (right to buy) | Disposition | 2021-12-28 | 185,000 | $0.00 | 185,000 | $0.69 |
| Common Shares | Employee Stock Option (right to buy) | Disposition | 2021-12-28 | 236,899 | $0.00 | 236,899 | $2.11 |
| Common Shares | Employee Stock Option (right to buy) | Disposition | 2021-12-28 | 79,689 | $0.00 | 79,689 | $1.14 |
| Common Shares | Employee Stock Option (right to buy) | Disposition | 2021-12-29 | 9,250 | $0.00 | 9,250 | $0.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 259,000 | 2030-03-17 | No | 4 | M | Direct | |
| 10,301 | 2028-02-11 | No | 4 | M | Direct | |
| 32,811 | 2029-02-12 | No | 4 | M | Direct | |
| 249,750 | 2030-03-17 | No | 4 | M | Direct |
Footnotes
- The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $2.40 to not more than $2.53. The reporting person undertakes to provide to the issuer, 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 such range.
- The 9,250 shares sold on 12/29/21, were all sold at a transaction price of $2.49.
- The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $2.42 to not more than $2.52. The reporting person undertakes to provide to the issuer, 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 such range.
- The reporting person was granted options on March 17, 2020, with an exercise price of $0.6919 per share to purchase up to 444,000 common shares of the issuer. One quarter of the options vested and became exercisable on March 17, 2021, the first anniversary of the grant date, and the balance vests in 36 monthly installments thereafter upon completion of each month of the reporting person's continuous employment with the issuer.
- The reporting person was granted options on February 11, 2018, with an exercise price of $2.11 per share to purchase up to 247,200 common shares of the issuer. One quarter of the options vested and became exercisable on February 11, 2019, the first anniversary of the grant date, and the balance vests in 36 monthly installments thereafter upon completion of each month of the reporting person's continuous employment with the issuer.
- The reporting person was granted options on February 12, 2019, with an exercise price of $1.14 per share to purchase up to 112,500 common shares of the issuer. One quarter of the options vested and became exercisable on February 12, 2020, the first anniversary of the grant date, and the balance vests in 36 monthly installments thereafter upon completion of each month of the reporting person's continuous employment with the issuer.
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