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
  1. 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.
  2. 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.
  3. These securities are owned by Neal C. Bradsher in his personal capacity.