Filing Details
- Accession Number:
- 0000919574-24-000757
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-02-08 18:58:18
- Reporting Period:
- 2024-02-06
- Accepted Time:
- 2024-02-08 18:58:18
- 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 |
---|---|---|---|---|---|---|---|
1278386 | Broadwood Partners, L.p. | C/O Broadwood Capital Inc. 142 West 57Th Street, 11Th Floor New York NY 10019 | Yes | No | Yes | No | |
1278387 | Broadwood Capital Inc | 142 West 57Th Street, 11Th Floor New York NY 10019 | No | No | Yes | No | |
1278388 | C Neal Bradsher | C/O Broadwood Capital Inc. 142 West 57Th Street, 11Th Floor New York NY 10019 | Yes | No | 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 Shares | Acquisiton | 2024-02-06 | 6,730,770 | $1.04 | 41,666,255 | No | 4 | P | Direct | |
Common Shares | Acquisiton | 2024-02-06 | 0 | $0.00 | 41,666,255 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Indirect | See Footnote |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Shares | 87,628 | Direct |
Footnotes
- The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- On February 6, 2024, Broadwood Partners entered into a Stock Purchase Agreement with Lineage Cell Therapeutics, Inc. (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 6,730,770 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in its registered direct offering for a total purchase price of $7,000,000.80, or $1.04 per Common Share.
- These securities are owned by Neal C. Bradsher in his personal capacity.