Last 12 months
Inside the activity.
1 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 | 0 | 0 |
| Mar 2026 | 1 | 0 |
| Apr 2026 | 0 | 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 |
|---|---|---|---|---|---|---|
| March 17, 2020 Filed Mar 19, 2020 21:00 UTC |
Leavitt Chase C.General Counsel/Secretary
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 616,700 | $0.00 Strike: $0.69 | $0.00 |
DisclosureSEC source: 0001493152-20-004351 · ownership.xml · derivative · entry 1 Leavitt Chase C. · CIK 0001777467 · General Counsel/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 616,700 Underlying: Common Shares · 616,700 shares Expires 2030-03-17 F1 · derivative.exercise_date: One quarter of the options shall vest on March 17, 2021 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 21:00 UTC |
Culley Brian MDirector · President and CEO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 1,233,300 | $0.00 Strike: $0.69 | $0.00 |
DisclosureSEC source: 0001493152-20-004349 · ownership.xml · derivative · entry 1 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,233,300 Underlying: Common Shares · 1,233,300 shares Expires 2030-03-17 F1 · derivative.exercise_date: One quarter of the options shall vest on March 17, 2021 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 21:00 UTC |
Hogge Gary S.SVP,Clinical & Medical Affairs
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 444,000 | $0.00 Strike: $0.69 | $0.00 |
DisclosureSEC source: 0001493152-20-004350 · ownership.xml · derivative · entry 1 Hogge Gary S. · CIK 0001771711 · SVP,Clinical & Medical Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 444,000 Underlying: Common Shares · 444,000 shares Expires 2030-03-17 F1 · derivative.exercise_date: One quarter of the options shall vest on March 17, 2021 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment. Read SEC document |
| December 31, 2019 Filed Dec 31, 2019 22:00 UTC |
Culley Brian MDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 15,450 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-019942 · ownership.xml · derivative · entry 3 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,500 Underlying: Common Shares · 15,450 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. F4 · derivative.exercise_date: The Reporting Person was granted RSUs on September 17, 2018 that vested with respect to 25% of the shares subject to the award on September 17, 2019, and the balance vest in 12 equal quarterly installments at the end of each quarter thereafter. F4 · derivative.expiration_date: The Reporting Person was granted RSUs on September 17, 2018 that vested with respect to 25% of the shares subject to the award on September 17, 2019, and the balance vest in 12 equal quarterly installments at the end of each quarter thereafter. Read SEC document |
| December 31, 2019 Filed Dec 31, 2019 22:00 UTC |
Culley Brian MDirector · President and CEO
|
Tax withholdingCommon Shares, no par value | 5,343 | $0.89 | $4,755.27 |
DisclosureSEC source: 0001493152-19-019942 · ownership.xml · nonDerivative · entry 2 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,174 F3 · shares: Shares withheld by the issuer to satisfy statutory tax withholding requirements on the vesting of 15,450 RSUs in a transaction exempt under Rule 16(b)-3. No shares were sold in connection with this transaction. F2 · balance_after: Does not include RSUs that may be settled in shares of the issuer's common stock that have not vested as of the date of this Report or shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| December 31, 2019 Filed Dec 31, 2019 22:00 UTC |
Culley Brian MDirector · President and CEO
|
Exercise / conversionCommon Shares, no par value | 15,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-019942 · ownership.xml · nonDerivative · entry 1 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,517 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. F1 · shares: Shares earned by the Reporting Person as a result of the vesting of a portion of Restricted Stock Units ("RSUs") granted to the Reporting Person on September 17, 2018. F2 · balance_after: Does not include RSUs that may be settled in shares of the issuer's common stock that have not vested as of the date of this Report or shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 21:00 UTC |
Culley Brian MDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 15,450 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-014834 · ownership.xml · derivative · entry 3 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,950 Underlying: Common Shares · 15,450 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. F4 · derivative.exercise_date: The Reporting Person was granted RSUs on September 17, 2018 that vested with respect to 25% of the shares subject to the award on September 17, 2019, and the balance vest in 12 equal quarterly installments at the end of each quarter thereafter. F4 · derivative.expiration_date: The Reporting Person was granted RSUs on September 17, 2018 that vested with respect to 25% of the shares subject to the award on September 17, 2019, and the balance vest in 12 equal quarterly installments at the end of each quarter thereafter. Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 21:00 UTC |
Culley Brian MDirector · President and CEO
|
Tax withholdingCommon Shares, no par value | 5,343 | $0.98 | $5,236.14 |
DisclosureSEC source: 0001493152-19-014834 · ownership.xml · nonDerivative · entry 2 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,067 F3 · shares: Shares withheld by the issuer to satisfy statutory tax withholding requirements on the vesting of 15,450 RSUs in a transaction exempt under Rule 16(b)-3. No shares were sold in connection with this transaction. F2 · balance_after: Does not include RSUs that may be settled in shares of the issuer's common stock that have not vested as of the date of this Report or shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 21:00 UTC |
Culley Brian MDirector · President and CEO
|
Exercise / conversionCommon Shares, no par value | 15,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-014834 · ownership.xml · nonDerivative · entry 1 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,410 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. F1 · shares: Shares earned by the Reporting Person as a result of the vesting of a portion of Restricted Stock Units ("RSUs") granted to the Reporting Person on September 17, 2018. F2 · balance_after: Does not include RSUs that may be settled in shares of the issuer's common stock that have not vested as of the date of this Report or shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| September 17, 2019 Filed Sep 19, 2019 21:00 UTC |
Culley Brian MDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 61,800 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-014321 · ownership.xml · derivative · entry 3 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,400 Underlying: Common Shares · 61,800 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. F4 · derivative.exercise_date: The Reporting Person was granted 200,000 RSUs on September 17, 2018 that vested with respect to 25% of the shares subject to the award on September 17, 2019, and the balance vest in 12 equal quarterly installments at the end of each quarter thereafter. See note 1 for certain information regarding an adjustment to the number of shares subject to these RSUs. F4 · derivative.expiration_date: The Reporting Person was granted 200,000 RSUs on September 17, 2018 that vested with respect to 25% of the shares subject to the award on September 17, 2019, and the balance vest in 12 equal quarterly installments at the end of each quarter thereafter. See note 1 for certain information regarding an adjustment to the number of shares subject to these RSUs. Read SEC document |
| September 17, 2019 Filed Sep 19, 2019 21:00 UTC |
Culley Brian MDirector · President and CEO
|
Tax withholdingCommon Shares, no par value | 21,371 | $1.00 | $21,371.00 |
DisclosureSEC source: 0001493152-19-014321 · ownership.xml · nonDerivative · entry 2 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,960 F3 · shares: Shares withheld by the issuer to satisfy statutory tax withholding requirements on the vesting of 61,800 RSUs in a transaction exempt under Rule 16(b)-3. No shares were sold in connection with this transaction. F2 · balance_after: Does not include RSUs that may be settled in shares of the issuer's common stock that have not vested as of the date of this Report or shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| September 17, 2019 Filed Sep 19, 2019 21:00 UTC |
Culley Brian MDirector · President and CEO
|
Exercise / conversionCommon Shares, no par value | 61,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-014321 · ownership.xml · nonDerivative · entry 1 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,331 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. F1 · shares: Shares earned by the Reporting Person as a result of the vesting of a portion of Restricted Stock Units ("RSUs") granted to the Reporting Person on September 17, 2018. In connection with the issuer's distribution of shares of common stock of AgeX, Inc. it owned to all its shareholders, the number of shares subject to these RSUs was adjusted from 200,000 to 247,200 to maintain the intrinsic value of the award. See the issuer's proxy statement as filed with the Securities and Exchange Commission on June 14, 2019 for additional information regarding such distribution. F2 · balance_after: Does not include RSUs that may be settled in shares of the issuer's common stock that have not vested as of the date of this Report or shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| September 01, 2019 Filed Feb 14, 2020 21:45 UTC |
KINGSLEY ALFRED DDirector
|
GiftCommon Shares, no par value | 32,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-20-002547 · ownership.xml · nonDerivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,425,945 F1 · date: During September 2019, Mr. Kingsley gifted a total of 32,000 common shares. F1 · price: During September 2019, Mr. Kingsley gifted a total of 32,000 common shares. Read SEC document |
| August 15, 2019 Filed Aug 15, 2019 23:05 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Shares | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-19-005442 · ownership.xml · nonDerivative · entry 6 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 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: 34,005,379 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 |
| August 15, 2019 Filed Aug 15, 2019 23:05 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Shares | 13,146 | $0.97 | $12,717.44 |
DisclosureSEC source: 0000919574-19-005442 · ownership.xml · nonDerivative · entry 5 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,005,379 F4 · price: This constitutes the weighted average purchase price. The prices range from $0.9587 to $0.97. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P. Read SEC document |
| August 14, 2019 Filed Aug 15, 2019 23:05 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Shares | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-19-005442 · ownership.xml · nonDerivative · entry 4 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 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: 33,992,233 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 |
| August 14, 2019 Filed Aug 15, 2019 23:05 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Shares | 1,407 | $0.98 | $1,378.86 |
DisclosureSEC source: 0000919574-19-005442 · ownership.xml · nonDerivative · entry 3 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,992,233 F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 23:05 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Shares | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-19-005442 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 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: 33,990,826 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 |
| August 13, 2019 Filed Aug 15, 2019 23:05 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Shares | 10,000 | $0.99 | $9,949.00 |
DisclosureSEC source: 0000919574-19-005442 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,990,826 F3 · price: This constitutes the weighted average purchase price. The prices range from $0.9857 to $1.00. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 12:41 UTC |
Roberts BrandiCFO & SVP, Finance
|
PurchaseCommon Shares | 5,000 | $1.01 | $5,050.00 |
DisclosureSEC source: 0001209191-19-046030 · doc4.xml · nonDerivative · entry 1 Roberts Brandi · CIK 0001516354 · CFO & SVP, Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 12:42 UTC |
Leavitt Chase C.General Counsel/Secretary
|
PurchaseCommon Shares | 5,000 | $1.02 | $5,100.00 |
DisclosureSEC source: 0001209191-19-046031 · doc4.xml · nonDerivative · entry 1 Leavitt Chase C. · CIK 0001777467 · General Counsel/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 12:39 UTC |
Culley Brian MDirector · President and CEO
|
PurchaseCommon Shares | 10,000 | $1.01 | $10,100.00 |
DisclosureSEC source: 0001209191-19-046029 · doc4.xml · nonDerivative · entry 1 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,531 F1 · balance_after: The number of common shares beneficially owned by the reporting person includes 15,411 additional common shares that were issued to the reporting person to maintain the intrinsic value of restricted stock unit awards immediately prior to the issuer's distribution of common stock of AgeX, Inc. See the issuer's proxy statement as filed with the Securities and Exchange Commission on June 14, 2019 for additional information. Read SEC document |
| July 31, 2019 Filed Aug 15, 2019 12:42 UTC |
Leavitt Chase C.General Counsel/Secretary
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $1.10 | $0.00 |
DisclosureSEC source: 0001209191-19-046031 · doc4.xml · derivative · entry 2 Leavitt Chase C. · CIK 0001777467 · General Counsel/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Shares · 125,000 shares Expires 2029-07-30 F1 · derivative.exercise_date: One quarter of the options shall vest on May 20, 2020 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment. Read SEC document |
| July 01, 2019 Filed Jul 4, 2019 01:15 UTC |
KINGSLEY ALFRED DDirector
|
GrantStock Option (Right to Buy) · Derivative | 70,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-19-041308 · doc4.xml · derivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Shares · 70,000 shares Expires 2029-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2020, based upon continued service on the board of directors. Read SEC document |
| July 01, 2019 Filed Jul 4, 2019 01:25 UTC |
ANDREWS DEBORAH JDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-19-041314 · doc4.xml · derivative · entry 1 ANDREWS DEBORAH J · CIK 0001325697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2029-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2020, based upon continued service on the board of directors. Read SEC document |
| July 01, 2019 Filed Jul 4, 2019 01:12 UTC |
Mulroy Michael H.Director
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-19-041306 · doc4.xml · derivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2029-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2020, based upon continued service on the board of directors. Read SEC document |
| July 01, 2019 Filed Jul 4, 2019 01:22 UTC |
BAILEY DON MDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-19-041312 · doc4.xml · derivative · entry 1 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2029-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2020, based upon continued service on the board of directors. Read SEC document |
| July 01, 2019 Filed Jul 4, 2019 01:18 UTC |
FARRELL STEPHEN CDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-19-041310 · doc4.xml · derivative · entry 1 FARRELL STEPHEN C · CIK 0001188757 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2029-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2020, based upon continued service on the board of directors. Read SEC document |
| July 01, 2019 Filed Jul 4, 2019 01:09 UTC |
Russell Angus C.Director
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-19-041304 · doc4.xml · derivative · entry 1 Russell Angus C. · CIK 0001534002 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2029-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2020, based upon continued service on the board of directors. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 21:37 UTC |
Bradsher Neal CDirector · 10% owner
|
GrantOPTION TO PURCHASE COMMON SHARES · Derivative | 40,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0000919574-19-004450 · ownership.xml · derivative · entry 1 BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: COMMON SHARES · 40,000 shares Expires 2029-06-30 F2 · price: The options were granted to Neal Bradsher by the issuer on July 1, 2019 as director compensation pursuant to resolutions from the minutes of the issuer's board of directors meeting on January 24, 2018. F1 · derivative.exercise_date: These options will vest and become exercisable on June 30, 2020, provided, that Neal C. Bradsher remains a member of the issuer's board of directors on that date. Read SEC document |
| June 30, 2019 Filed Jul 3, 2019 00:14 UTC |
Roberts BrandiCFO & SVP, Finance
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $1.10 | $0.00 |
DisclosureSEC source: 0001209191-19-040588 · doc4.xml · derivative · entry 1 Roberts Brandi · CIK 0001516354 · CFO & SVP, Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Shares · 150,000 shares Expires 2029-06-29 F1 · derivative.exercise_date: One quarter of the options shall vest on January 7, 2020 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:31 UTC |
Leavitt Chase C.General Counsel/Secretary
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $1.13 | $0.00 |
DisclosureSEC source: 0001209191-19-032073 · doc4.xml · derivative · entry 1 Leavitt Chase C. · CIK 0001777467 · General Counsel/Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Shares · 300,000 shares Expires 2029-05-19 F1 · derivative.exercise_date: One quarter of the options shall vest on May 20, 2020 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment. Read SEC document |
| April 16, 2019 Filed Apr 18, 2019 22:35 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
OtherCommon Shares | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-19-002988 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 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: 33,980,826 F1 · kind: These securities were acquired by Broadwood Partners, L.P. from the Issuer in lieu of cash due from the Issuer following the Issuer's acquisition of Asterias Biotherapeutics, Inc. ("Asterias"), pursuant to the Warrant Agreement filed by Asterias with the Securities and Exchange Commission on May 10, 2016 as Exhibit 4.1 to Form 8-K. The acquisition price was $1.3199 per Common Share, which was the three-day volume weighted average price of a Common Share on the NYSE American as of April 3, 2019. F3 · 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 |
| April 16, 2019 Filed Apr 18, 2019 22:35 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
OtherCommon Shares | 251,835 | $1.32 | $332,397.02 |
DisclosureSEC source: 0000919574-19-002988 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,980,826 F1 · kind: These securities were acquired by Broadwood Partners, L.P. from the Issuer in lieu of cash due from the Issuer following the Issuer's acquisition of Asterias Biotherapeutics, Inc. ("Asterias"), pursuant to the Warrant Agreement filed by Asterias with the Securities and Exchange Commission on May 10, 2016 as Exhibit 4.1 to Form 8-K. The acquisition price was $1.3199 per Common Share, which was the three-day volume weighted average price of a Common Share on the NYSE American as of April 3, 2019. F1 · price: These securities were acquired by Broadwood Partners, L.P. from the Issuer in lieu of cash due from the Issuer following the Issuer's acquisition of Asterias Biotherapeutics, Inc. ("Asterias"), pursuant to the Warrant Agreement filed by Asterias with the Securities and Exchange Commission on May 10, 2016 as Exhibit 4.1 to Form 8-K. The acquisition price was $1.3199 per Common Share, which was the three-day volume weighted average price of a Common Share on the NYSE American as of April 3, 2019. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 23:16 UTC |
Wirth EdwardChief Medical Officer
|
GrantOption to Purchase Common Shares · Derivative | 350,000 | $0.00 Strike: $1.57 | $0.00 |
DisclosureSEC source: 0001209191-19-020852 · doc4.xml · derivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Shares · 350,000 shares Expires 2029-03-18 F1 · derivative.exercise_date: One quarter of the options shall vest on March 18, 2020 and the remaining shall vest in 36 equal monthly installments thereafter upon the completion of each month of continuous employment. Read SEC document |
| March 19, 2019 Filed Jul 4, 2019 01:22 UTC |
BAILEY DON MDirector
|
GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $1.57 | $0.00 |
DisclosureSEC source: 0001209191-19-041312 · doc4.xml · derivative · entry 2 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Shares · 60,000 shares Expires 2029-03-18 F2 · derivative.exercise_date: Will become exercisable on March 19, 2020, based upon continued service on the board of directors. Read SEC document |
| March 08, 2019 Filed Mar 12, 2019 20:45 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
OtherCommon Shares | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-19-002297 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 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: 33,728,991 F1 · kind: These securities were acquired pursuant to a merger between the Issuer and Asterias Biotherapeutics, Inc. ("Asterias") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of Asterias' common stock, $0.001 par value, was converted into the right to receive 0.71 Shares. As the holder of 5,292,156 shares of Asterias' common stock on the effective date of the Merger, Broadwood Partners received 3,757,430 Shares in the Merger. On the effective date of the Merger, the closing price of Asterias' common stock was $0.9450 per share, and the closing price of the Issuer's common shares was $1.31 per share. F3 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed 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 |
| March 08, 2019 Filed Mar 12, 2019 20:45 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
OtherCommon Shares | 3,757,430 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-19-002297 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,728,991 F1 · kind: These securities were acquired pursuant to a merger between the Issuer and Asterias Biotherapeutics, Inc. ("Asterias") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of Asterias' common stock, $0.001 par value, was converted into the right to receive 0.71 Shares. As the holder of 5,292,156 shares of Asterias' common stock on the effective date of the Merger, Broadwood Partners received 3,757,430 Shares in the Merger. On the effective date of the Merger, the closing price of Asterias' common stock was $0.9450 per share, and the closing price of the Issuer's common shares was $1.31 per share. F1 · price: These securities were acquired pursuant to a merger between the Issuer and Asterias Biotherapeutics, Inc. ("Asterias") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of Asterias' common stock, $0.001 par value, was converted into the right to receive 0.71 Shares. As the holder of 5,292,156 shares of Asterias' common stock on the effective date of the Merger, Broadwood Partners received 3,757,430 Shares in the Merger. On the effective date of the Merger, the closing price of Asterias' common stock was $0.9450 per share, and the closing price of the Issuer's common shares was $1.31 per share. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P. Read SEC document |
| March 08, 2019 Filed Mar 15, 2019 20:49 UTC |
Mulroy Michael H.Director
|
GrantCommon Shares, no par value | 194,271 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-019722 · doc4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,821 F1 · kind: Acquired pursuant to that certain Agreement and Plan of Merger, dated November 7, 2018 (the "Merger Agreement"), by and between the Issuer, Patrick Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer, and Asterias Biotherapeutics, Inc., a Delaware corporation ("Asterias"). Pursuant to the Merger Agreement, each share of Series A common stock of Asterias was converted into the right to receive 0.71 common shares of the Issuer. F1 · shares: Acquired pursuant to that certain Agreement and Plan of Merger, dated November 7, 2018 (the "Merger Agreement"), by and between the Issuer, Patrick Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer, and Asterias Biotherapeutics, Inc., a Delaware corporation ("Asterias"). Pursuant to the Merger Agreement, each share of Series A common stock of Asterias was converted into the right to receive 0.71 common shares of the Issuer. F1 · price: Acquired pursuant to that certain Agreement and Plan of Merger, dated November 7, 2018 (the "Merger Agreement"), by and between the Issuer, Patrick Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer, and Asterias Biotherapeutics, Inc., a Delaware corporation ("Asterias"). Pursuant to the Merger Agreement, each share of Series A common stock of Asterias was converted into the right to receive 0.71 common shares of the Issuer. Read SEC document |
| March 08, 2019 Filed Apr 5, 2019 23:10 UTC |
KINGSLEY ALFRED DDirector
|
GrantCommon Shares, no par value | 6,390 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-023894 · doc4.xml · nonDerivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,457,945 F1 · kind: Acquired pursuant to that certain Agreement and Plan of Merger, dated November 7, 2018 (the "Merger Agreement"), by and between the Issuer, Patrick Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer, and Asterias Biotherapeutics, Inc., a Delaware corporation ("Asterias"). Pursuant to the Merger Agreement, each share of Series A common stock of Asterias was converted into the right to receive 0.71 common shares of the Issuer. F1 · shares: Acquired pursuant to that certain Agreement and Plan of Merger, dated November 7, 2018 (the "Merger Agreement"), by and between the Issuer, Patrick Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer, and Asterias Biotherapeutics, Inc., a Delaware corporation ("Asterias"). Pursuant to the Merger Agreement, each share of Series A common stock of Asterias was converted into the right to receive 0.71 common shares of the Issuer. F1 · price: Acquired pursuant to that certain Agreement and Plan of Merger, dated November 7, 2018 (the "Merger Agreement"), by and between the Issuer, Patrick Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer, and Asterias Biotherapeutics, Inc., a Delaware corporation ("Asterias"). Pursuant to the Merger Agreement, each share of Series A common stock of Asterias was converted into the right to receive 0.71 common shares of the Issuer. F2 · balance_after: Does not include shares that Mr. Kingsley may acquire through the exercise of certain options. Read SEC document |
| January 07, 2019 Filed Jan 10, 2019 01:20 UTC |
Roberts BrandiCFO & SVP, Finance
|
GrantOption to Purchase Common Shares · Derivative | 500,000 | $0.00 Strike: $1.08 | $0.00 |
DisclosureSEC source: 0001209191-19-003173 · doc4.xml · derivative · entry 1 Roberts Brandi · CIK 0001516354 · CFO & SVP, Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Shares · 500,000 shares Expires 2029-01-06 F1 · derivative.exercise_date: One quarter of the options shall vest on January 7, 2020 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment. Read SEC document |
| January 01, 2019 Filed Jan 4, 2019 01:35 UTC |
Culley Brian MDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 100,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001577 · doc4.xml · derivative · entry 3 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 100,000 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. F4 · derivative.exercise_date: The restricted stock units vested on January 1, 2019. F4 · derivative.expiration_date: The restricted stock units vested on January 1, 2019. Read SEC document |
| January 01, 2019 Filed Jan 4, 2019 01:35 UTC |
Culley Brian MDirector · President and CEO
|
Tax withholdingCommon Shares, no par value | 40,880 | $0.91 | $37,323.44 |
DisclosureSEC source: 0001209191-19-001577 · doc4.xml · nonDerivative · entry 2 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,120 F3 · shares: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 100,000 Restricted Stock Units, the grant of which was previously reported on a Form 8-K. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| January 01, 2019 Filed Jan 4, 2019 01:35 UTC |
Culley Brian MDirector · President and CEO
|
Exercise / conversionCommon Shares, no par value | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001577 · doc4.xml · nonDerivative · entry 1 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 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. F1 · shares: Shares earned by the Reporting Person as a result of the vesting of Restrictive Stock Units ("RSUs") granted to the Reporting Person on September 17, 2018. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| December 18, 2018 Filed Dec 20, 2018 13:36 UTC |
Patton Stephana EileneGeneral Counsel & Secretary
|
Exercise / conversionRestricted Stock Units · Derivative | 27,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-063602 · doc4.xml · derivative · entry 3 Patton Stephana Eilene · CIK 0001698237 · General Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,750 Underlying: Common Shares · 27,500 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. F4 · derivative.exercise_date: 25% of the RSUs granted on May 24, 2018 vested on October 4, 2018, 50% of the RSUs vested on December 18, 2018, then the remaining 25% of the RSUs shall vest based on the sole determination by the Board of Directors that BioTime has achieved certain milestones, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting. F4 · derivative.expiration_date: 25% of the RSUs granted on May 24, 2018 vested on October 4, 2018, 50% of the RSUs vested on December 18, 2018, then the remaining 25% of the RSUs shall vest based on the sole determination by the Board of Directors that BioTime has achieved certain milestones, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting. Read SEC document |
| December 18, 2018 Filed Dec 20, 2018 13:36 UTC |
Patton Stephana EileneGeneral Counsel & Secretary
|
Tax withholdingCommon Shares, no par value | 9,510 | $1.03 | $9,795.30 |
DisclosureSEC source: 0001209191-18-063602 · doc4.xml · nonDerivative · entry 2 Patton Stephana Eilene · CIK 0001698237 · General Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,485 F3 · shares: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 27,500 RSUs, the grant of which was previously reported on a Form 8-K. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| December 18, 2018 Filed Dec 20, 2018 13:36 UTC |
Patton Stephana EileneGeneral Counsel & Secretary
|
Exercise / conversionCommon Shares, no par value | 27,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-063602 · doc4.xml · nonDerivative · entry 1 Patton Stephana Eilene · CIK 0001698237 · General Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,995 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. F1 · shares: Shares earned by the Reporting Person as a result of the vesting of Restrictive Stock Units ("RSUs") granted to the Reporting Person on May 24, 2018. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| December 18, 2018 Filed Dec 20, 2018 13:40 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 22,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-063604 · doc4.xml · derivative · entry 3 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,250 Underlying: Common Shares · 22,500 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. F4 · derivative.exercise_date: 25% of the RSUs granted on May 24, 2018 vested on October 4, 2018, 50% of the RSUs vested on December 18, 2018, then the remaining 25% of the RSUs shall vest based on the sole determination by the Board of Directors that BioTime has achieved certain milestones, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting. F4 · derivative.expiration_date: 25% of the RSUs granted on May 24, 2018 vested on October 4, 2018, 50% of the RSUs vested on December 18, 2018, then the remaining 25% of the RSUs shall vest based on the sole determination by the Board of Directors that BioTime has achieved certain milestones, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting. Read SEC document |
| December 18, 2018 Filed Dec 20, 2018 13:40 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
Tax withholdingCommon Shares, no par value | 7,781 | $1.03 | $8,014.43 |
DisclosureSEC source: 0001209191-18-063604 · doc4.xml · nonDerivative · entry 2 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,078 F3 · shares: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 22,500 RSUs, the grant of which was previously reported on a Form 8-K. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| December 18, 2018 Filed Dec 20, 2018 13:40 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
Exercise / conversionCommon Shares, no par value | 22,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-063604 · doc4.xml · nonDerivative · entry 1 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,859 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. F1 · shares: Shares earned by the Reporting Person as a result of the vesting of Restrictive Stock Units ("RSUs") granted to the Reporting Person on May 24, 2018. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. 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.