Last 12 months
Inside the activity.
14 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 2 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 12 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 11, 2020 Filed Dec 15, 2020 06:13 UTC | GrantCommon Stock | 10,121 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-20-023583 · ownership.xml · nonDerivative · entry 1 Levine Mitchell S · CIK 0001383492 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,700 F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share. Read SEC document |
|
| September 12, 2020 Filed Dec 15, 2020 06:02 UTC Amendment | PurchaseCommon Stock | 10,000 | $2.01 | $20,060.00 |
DisclosureSEC source: 0001493152-20-023578 · ownership.xml · nonDerivative · entry 1 Levine Mitchell S · CIK 0001383492 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,495 F1 · price: The price of $2.006 per share represents a weighted average of prices ranging from $2.003 to $2.006 per share. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased or sold at each separate price. F2 · balance_after: This Form 4 is being filed to amend the prior Form 4 filed by the Reporting Person on September 12, 2019, which erroneously did not combine the shares of common stock acquired by the Reporting Person on September 12, 2019 with the Reporting Person's common stock reported on his Form 4 on July 31, 2018. Read SEC document |
|
| August 03, 2020 Filed Aug 4, 2020 22:50 UTC |
ANDREWS RONALD ASBURYDirector · Chief Executive Officer
|
PurchaseCommon Stock, no par value | 40,000 | $1.35 | $53,880.00 |
DisclosureSEC source: 0001493152-20-014613 · ownership.xml · nonDerivative · entry 1 ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,698 F1 · price: The shares were purchased at various prices ranging from $1.32 to $1.40. Read SEC document |
| August 03, 2020 Filed Aug 4, 2020 18:47 UTC |
Levine Mitchell SChief Financial Officer
|
PurchaseCommon Stock, no par value | 10,000 | $1.32 | $13,200.00 |
DisclosureSEC source: 0001493152-20-014611 · ownership.xml · nonDerivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,579 F1 · price: 2,500.000 shares purchased at $1.3165; 2,500.000 shares purchased at $1.3058; 2,500.000 shares purchased at $1.3169; and 2,500.000 shares purchased at $1.3425. Read SEC document |
| August 03, 2020 Filed Aug 5, 2020 19:36 UTC |
Parker Albert PChief Operating Officer
|
PurchaseCommon Stock, no par value | 5,000 | $1.33 | $6,648.00 |
DisclosureSEC source: 0001493152-20-014772 · ownership.xml · nonDerivative · entry 1 Parker Albert P · CIK 0001750079 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| August 03, 2020 Filed Aug 5, 2020 23:34 UTC |
Kalajian Tony TSr.VP/Chief Accounting Officer
|
PurchaseCommon Stock, no par value | 5,000 | $1.31 | $6,533.00 |
DisclosureSEC source: 0001493152-20-014770 · ownership.xml · nonDerivative · entry 1 KALAJIAN TONY T · CIK 0001786237 · Sr.VP/Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 21:34 UTC |
Last Andrew J.Director
|
GrantOption to purchase common stock · Derivative | 57,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001493152-20-011542 · ownership.xml · derivative · entry 1 Last Andrew J. · CIK 0001485088 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Underlying: Common Stock · 57,000 shares Expires not disclosed F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. F1 · derivative.expiration_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 21:31 UTC |
Arno AndrewDirector
|
GrantOption to purchase common stock · Derivative | 57,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001493152-20-011539 · ownership.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Underlying: Common Stock · 57,000 shares Expires not disclosed F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. F1 · derivative.expiration_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 17:37 UTC |
Redmond Cavan M.Director
|
GrantOption to purchase common stock · Derivative | 62,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001493152-20-011545 · ownership.xml · derivative · entry 1 Redmond Cavan M. · CIK 0001420120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,000 Underlying: Common Stock · 62,000 shares Expires not disclosed F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. F1 · derivative.expiration_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 17:34 UTC |
KINGSLEY ALFRED DDirector
|
GrantOption to purchase common stock · Derivative | 57,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001493152-20-011541 · ownership.xml · derivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Underlying: Common Stock · 57,000 shares Expires not disclosed F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. F1 · derivative.expiration_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 21:34 UTC |
GRIFFITH MELINDADirector
|
GrantOption to purchase common stock · Derivative | 57,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001493152-20-011543 · ownership.xml · derivative · entry 1 GRIFFITH MELINDA · CIK 0001783697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Underlying: Common Stock · 57,000 shares Expires not disclosed F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. F1 · derivative.expiration_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| May 07, 2020 Filed May 12, 2020 18:25 UTC |
ANDREWS RONALD ASBURYDirector · Chief Executive Officer
|
GrantRestricted Stock Units · Derivative | 106,221 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-008357 · ownership.xml · derivative · entry 1 ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,221 Underlying: Common Stock · 106,221 shares Expires not disclosed F1 · derivative.exercise_price: Grant of restricted stock units under the OncoCyte 2018 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Common Stock. F2 · derivative.exercise_date: The restricted stock units shall vest upon the completion of one year of continuous service from the date of grant. F2 · derivative.expiration_date: The restricted stock units shall vest upon the completion of one year of continuous service from the date of grant. Read SEC document |
| April 28, 2020 Filed Apr 30, 2020 20:08 UTC Amendment |
Levine Mitchell SChief Financial Officer
|
GrantRestricted Stock Units · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-007488 · ownership.xml · derivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires not disclosed F1 · derivative.exercise_price: Grant of restricted stock units under the OncoCyte 2018 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Common Stock. F2 · derivative.exercise_date: The restricted stock units shall vest upon the completion of one year of continuous service from the date of grant. F2 · derivative.expiration_date: The restricted stock units shall vest upon the completion of one year of continuous service from the date of grant. Read SEC document |
| April 28, 2020 Filed Apr 30, 2020 17:53 UTC |
Levine Mitchell SChief Financial Officer
|
GrantRestricted Stock Units · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-007476 · ownership.xml · derivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires not disclosed F1 · derivative.exercise_price: Grant of restricted stock units under the OncoCyte 2018 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Common Stock. F2 · derivative.exercise_date: The restricted stock units shall vest upon the completion of one year of continuous service from the date of grant. F2 · derivative.expiration_date: The restricted stock units shall vest upon the completion of one year of continuous service from the date of grant. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 22:14 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-003043 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 14,716,204 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. 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. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 22:14 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 1,050,000 | $2.27 | $2,383,500.00 |
DisclosureSEC source: 0000919574-20-003043 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,716,204 F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. 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. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 01:24 UTC Amendment |
ANDREWS RONALD ASBURYDirector · CEO and President
|
PurchaseCommon Stock, no par value | 18,000 | $2.37 | $42,696.00 |
DisclosureSEC source: 0001493152-20-005646 · ownership.xml · nonDerivative · entry 2 ANDREWS RONALD ASBURY · CIK 0001299153 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,698 F1 · price: Amendment to correct March 31, 2020 share purchase price by replacing erroneous comma with a decimal point. Read SEC document |
| March 31, 2020 Filed Apr 1, 2020 20:05 UTC |
ANDREWS RONALD ASBURYDirector · CEO and President
|
PurchaseCommon Stock, no par value | 18,000 | $2,372.00 | $42,696,000.00 |
DisclosureSEC source: 0001493152-20-005608 · ownership.xml · nonDerivative · entry 2 ANDREWS RONALD ASBURY · CIK 0001299153 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,698 Read SEC document |
| March 30, 2020 Filed Apr 2, 2020 01:24 UTC Amendment |
ANDREWS RONALD ASBURYDirector · CEO and President
|
PurchaseCommon Stock, no par value | 27,216 | $2.26 | $61,453.73 |
DisclosureSEC source: 0001493152-20-005646 · ownership.xml · nonDerivative · entry 1 ANDREWS RONALD ASBURY · CIK 0001299153 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,698 Read SEC document |
| March 30, 2020 Filed Apr 1, 2020 20:05 UTC |
ANDREWS RONALD ASBURYDirector · CEO and President
|
PurchaseCommon Stock, no par value | 27,216 | $2.26 | $61,453.73 |
DisclosureSEC source: 0001493152-20-005608 · ownership.xml · nonDerivative · entry 1 ANDREWS RONALD ASBURY · CIK 0001299153 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,698 Read SEC document |
| March 14, 2020 Filed Apr 20, 2020 16:42 UTC |
Levine Mitchell SChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 20,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-006754 · ownership.xml · derivative · entry 3 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 20,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Restricted Stock Units vested on March 14, 2020 F2 · derivative.expiration_date: Restricted Stock Units vested on March 14, 2020 Read SEC document |
| March 14, 2020 Filed Apr 20, 2020 16:42 UTC |
Levine Mitchell SChief Financial Officer
|
Tax withholdingCommon Shares, no par value | 6,916 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-006754 · ownership.xml · nonDerivative · entry 2 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,579 F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 20,000 Restricted Stock Units, the grant of which was previously reported on a Form 4. Read SEC document |
| March 14, 2020 Filed Apr 20, 2020 16:42 UTC |
Levine Mitchell SChief Financial Officer
|
Exercise / conversionCommon Shares, no par value | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-006754 · ownership.xml · nonDerivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,495 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:52 UTC |
Sundar PadmavathiSVP, Marketing & Market Access
|
GrantOption to purchase common stock · Derivative | 255,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0001493152-20-002153 · ownership.xml · derivative · entry 1 Sundar Padma · CIK 0001778709 · SVP, Marketing & Market Access 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,000 Underlying: Common Stock · 255,000 shares Expires 2030-02-09 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of one year of continuous service from the date of grant on February 10, 2020 and the balance shall vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, based on continuous service on the applicable vesting date.(1) Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:53 UTC |
Parker Albert PChief Operating Officer
|
GrantOption to purchase common stock · Derivative | 204,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0001493152-20-002154 · ownership.xml · derivative · entry 1 Parker Albert P · CIK 0001750079 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,000 Underlying: Common Stock · 204,000 shares Expires 2030-02-09 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of one year of continuous service from the date of grant on February 10, 2020 and the balance shall vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, based on continuous service on the applicable vesting date. Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:54 UTC |
Levine Mitchell SChief Financial Officer
|
GrantOption to purchase common stock · Derivative | 204,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0001493152-20-002156 · ownership.xml · derivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,000 Underlying: Common Stock · 204,000 shares Expires 2030-02-09 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of one year of continuous service from the date of grant on February 10, 2020 and the balance shall vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, based on continuous service on the applicable vesting date. Read SEC document |
| February 10, 2020 Filed Feb 13, 2020 02:53 UTC |
Kalajian Tony TSVP, Chief Accounting Officer
|
GrantOption to purchase common stock · Derivative | 204,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0001493152-20-002155 · ownership.xml · derivative · entry 1 KALAJIAN TONY T · CIK 0001786237 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,000 Underlying: Common Stock · 204,000 shares Expires 2030-02-09 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of one year of continuous service from the date of grant on February 10, 2020 and the balance shall vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, based on continuous service on the applicable vesting date. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 22:00 UTC |
Lineage Cell Therapeutics, Inc.Previous 10% Owner
|
SaleCommon Stock, no par value | 2,383,090 | $2.16 | $5,137,942.04 |
DisclosureSEC source: 0001493152-20-000240 · ownership.xml · nonDerivative · entry 1 Lineage Cell Therapeutics, Inc. · CIK 0000876343 · Previous 10% Owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,041,154 Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 23:38 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-000098 · ownership.xml · nonDerivative · entry 4 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 13,666,204 F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim 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. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 23:38 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 623,090 | $2.16 | $1,343,382.04 |
DisclosureSEC source: 0000919574-20-000098 · ownership.xml · nonDerivative · entry 3 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,666,204 F1 · ownership.direct: These securities are directly owned by Broadwood Partners, L.P. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 23:38 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-000098 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 13,043,114 F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim 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. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 23:38 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 768,376 | $2.16 | $1,656,618.66 |
DisclosureSEC source: 0000919574-20-000098 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,043,114 F1 · ownership.direct: These securities are directly owned by Broadwood Partners, L.P. Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 22:57 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-19-007324 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 12,274,738 F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim 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. Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 22:57 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 1,176,471 | $1.70 | $2,000,000.70 |
DisclosureSEC source: 0000919574-19-007324 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,274,738 F1 · ownership.direct: These securities are directly owned by Broadwood Partners, L.P. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 20:59 UTC |
Arno AndrewDirector
|
PurchaseCommon Stock, no par value | 50,000 | $2.16 | $108,130.00 |
DisclosureSEC source: 0001209191-19-050090 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,447 F1 · price: The price of $2.1626 per share represents a weighted average of prices ranging from $2.11 to $2.21 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| September 13, 2019 Filed Sep 16, 2019 21:28 UTC |
Kalajian Tony TSVP-Chief Accounting Officer
|
PurchaseCommon Stock, no par value | 10,000 | $1.98 | $19,800.00 |
DisclosureSEC source: 0001209191-19-049683 · doc4.xml · nonDerivative · entry 1 KALAJIAN TONY T · CIK 0001786237 · SVP-Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · price: The price of $1.98 per share represents a weighted average of prices ranging from $1.94 to $1.987 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| September 12, 2019 Filed Sep 12, 2019 18:33 UTC |
Levine Mitchell SChief Financial Officer
|
PurchaseCommon Stock, no par value | 10,000 | $2.01 | $20,060.00 |
DisclosureSEC source: 0001209191-19-049377 · doc4.xml · nonDerivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · price: The price of $2.006 per share represents a weighted average of prices ranging from $2.003 to $2.006 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| September 12, 2019 Filed Dec 17, 2020 17:02 UTC Amendment | PurchaseCommon Stock | 10,000 | $2.01 | $20,060.00 |
DisclosureSEC source: 0001493152-20-023851 · ownership.xml · nonDerivative · entry 1 Levine Mitchell S · CIK 0001383492 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,495 F1 · price: The price of $2.006 per share represents a weighted average of prices ranging from $2.003 to $2.006 per share. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased or sold at each separate price. F2 · balance_after: This Form 4 is being filed to amend the prior Form 4 filed by the Reporting Person on September 12, 2019, which erroneously did not combine the shares of common stock acquired by the Reporting Person on September 12, 2019 with the Reporting Person's common stock reported on his Form 4 on July 31, 2018. Read SEC document |
|
| September 11, 2019 Filed Sep 13, 2019 21:20 UTC |
Lineage Cell Therapeutics, Inc.10% owner
|
SaleCommon Stock, no par value | 4,000,000 | $1.66 | $6,640,000.00 |
DisclosureSEC source: 0001493152-19-014109 · ownership.xml · nonDerivative · entry 1 Lineage Cell Therapeutics, Inc. · CIK 0000876343 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,424,244 Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:57 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-19-005862 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,098,267 F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim 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. Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:57 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 2,000,000 | $1.66 | $3,320,000.00 |
DisclosureSEC source: 0000919574-19-005862 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,098,267 F1 · ownership.direct: These securities are directly owned by Broadwood Partners, L.P. Read SEC document |
| July 17, 2019 Filed Jul 20, 2019 00:12 UTC |
Last Andrew J.Director
|
GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-19-042841 · doc4.xml · derivative · entry 1 Last Andrew J. · CIK 0001485088 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2029-07-16 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 20:31 UTC |
MOHANTY ADITYA P.Director
|
GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-19-042847 · doc4.xml · derivative · entry 1 MOHANTY ADITYA P. · CIK 0001629819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2029-07-16 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| July 17, 2019 Filed Jul 20, 2019 00:06 UTC |
Arno AndrewDirector
|
GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-19-042836 · doc4.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2029-07-16 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 21:38 UTC |
Redmond Cavan M.Director
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GrantOption to Purchase Common Stock · Derivative | 50,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-19-042849 · doc4.xml · derivative · entry 1 Redmond Cavan M. · CIK 0001420120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-07-16 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 20:23 UTC |
KINGSLEY ALFRED DDirector
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GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-19-042845 · doc4.xml · derivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2029-07-16 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| July 05, 2019 Filed Jul 5, 2019 20:32 UTC |
Lineage Cell Therapeutics, Inc.10% owner
|
SaleCommon Stock, no par value | 2,250,000 | $2.00 | $4,500,000.00 |
DisclosureSEC source: 0001209191-19-041335 · doc4.xml · nonDerivative · entry 1 BIOTIME INC · CIK 0000876343 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,424,244 Read SEC document |
| July 02, 2019 Filed Jul 2, 2019 21:16 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 0 | $2.00 | $0.00 |
DisclosureSEC source: 0000919574-19-004414 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,098,267 F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim 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. Read SEC document |
| July 02, 2019 Filed Jul 2, 2019 21:16 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 1,000,000 | $2.00 | $2,000,000.00 |
DisclosureSEC source: 0000919574-19-004414 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,098,267 F1 · ownership.direct: These securities are directly owned by Broadwood Partners, L.P. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 22:44 UTC |
ANDREWS RONALD ASBURYDirector · Chief Executive Officer
|
GrantOption to Purchase Common Stock · Derivative | 950,000 | $0.00 Strike: $2.51 | $0.00 |
DisclosureSEC source: 0001209191-19-041282 · doc4.xml · derivative · entry 1 ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 950,000 Underlying: Common Stock · 950,000 shares Expires 2029-06-30 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of one year of continuous service from the date of grant on July 1, 2019 and the balance shall vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, based on continuous service on the applicable vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.