Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Asterias Biotherapeutics, Inc.AST · Entity 159180 | Chief Medical Officer | March 01, 2019 | March 05, 2019 |
| Lineage Cell Therapeutics, Inc.BTX · Entity 6045 | Chief Medical Officer | March 19, 2019 | March 21, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Asterias Biotherapeutics, Inc.
Report date March 01, 2019 · Filed March 05, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 267,194 |
Ending reported balance
After 2019-03-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-03-01 · Grant · Acquired 156,452 · Balance 316,020 F1: The shares reported herein were awarded to the Reporting Person by the Issuer's Board of Directors upon recommendation by the Compensation Committee, in connection with the Company's 2018 bonus payment to the Reporting Person, in lieu of cash payment to the Reporting Person. Row 2 · 2019-03-01 · Tax withholding · Disposed 48,826 · Balance 267,194 F2: Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the grant of shares reported herein. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.95 · Expires 2028-03-14 | Direct | 150,000 |
Reported balance
Holding disclosure · report date 2019-03-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 150,000 F3: Subject to Mr. Wirth's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was March 14, 2018. The stock options are exercisable upon vesting. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.34 · Expires 2020-03-09 | Direct | 192,500 |
Reported balance
Holding disclosure · report date 2019-03-01 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 192,500 F4: Subject to Mr. Wirth's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was March 10, 2013. The stock options are exercisable upon vesting. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.90 · Expires 2025-02-12 | Direct | 50,000 |
Reported balance
Holding disclosure · report date 2019-03-01 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 50,000 F5: Subject to Mr. Wirth's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was February 26, 2015. The stock options are exercisable upon vesting. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.64 · Expires 2026-02-25 | Direct | 120,000 |
Reported balance
Holding disclosure · report date 2019-03-01 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 120,000 F6: Subject to Mr. Wirth's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was February 26, 2016. The stock options are exercisable upon vesting. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares reported herein were awarded to the Reporting Person by the Issuer's Board of Directors upon recommendation by the Compensation Committee, in connection with the Company's 2018 bonus payment to the Reporting Person, in lieu of cash payment to the Reporting Person.
F2: Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the grant of shares reported herein.
F3: Subject to Mr. Wirth's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was March 14, 2018. The stock options are exercisable upon vesting.
F4: Subject to Mr. Wirth's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was March 10, 2013. The stock options are exercisable upon vesting.
F5: Subject to Mr. Wirth's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was February 26, 2015. The stock options are exercisable upon vesting.
F6: Subject to Mr. Wirth's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was February 26, 2016. The stock options are exercisable upon vesting.
Lineage Cell Therapeutics, Inc.
Report date March 19, 2019 · Filed March 21, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to Purchase Common SharesSEC Table II · derivative / convertible security · Conversion / exercise price $1.57 · Expires 2029-03-18 | Direct | 350,000 |
Reported balance
After 2019-03-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-03-19 · Grant · Acquired 350,000 · Balance 350,000 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 19, 2019 Filed Mar 21, 2019 23:16 UTC | Lineage Cell Therapeutics, Inc. BTX · Entity 6045 | 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 01, 2019 Filed Mar 5, 2019 16:32 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Tax withholdingCommon Stock | 48,826 | $0.95 | $46,384.70 |
DisclosureSEC source: 0001140361-19-004433 · form4.xml · nonDerivative · entry 2 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,194 F2 · kind: Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the grant of shares reported herein. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 16:32 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantCommon Stock | 156,452 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-19-004433 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 316,020 F1 · kind: The shares reported herein were awarded to the Reporting Person by the Issuer's Board of Directors upon recommendation by the Compensation Committee, in connection with the Company's 2018 bonus payment to the Reporting Person, in lieu of cash payment to the Reporting Person. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 17:02 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Tax withholdingCommon Stock | 20,440 | $0.68 | $13,899.20 |
DisclosureSEC source: 0001140361-19-000390 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,568 F1 · kind: Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of restricted stock, which was previously reported. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 16:58 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Tax withholdingCommon Stock | 6,483 | $1.45 | $9,400.35 |
DisclosureSEC source: 0001140361-18-016243 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,008 F1 · kind: Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of restricted stock, which was previously reported. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 18:58 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantStock Options · Derivative | 150,000 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001140361-18-014134 · form4.xml · derivative · entry 4 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2028-03-14 F2 · derivative.exercise_date: Subject to Mr. Wirth's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was March 14, 2018. The stock options are exercisable upon vesting. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 18:58 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Tax withholdingCommon Stock | 22,686 | $1.95 | $44,237.70 |
DisclosureSEC source: 0001140361-18-014134 · form4.xml · nonDerivative · entry 3 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,491 F1 · kind: Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the grant of 74,000 shares of restricted stock, which is reported herewith on this Form 4. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 18:58 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantCommon Stock | 74,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-014134 · form4.xml · nonDerivative · entry 2 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,177 Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 18:58 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantCommon Stock (restricted stock units) | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-014134 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,177 Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:30 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Tax withholdingCommon Stock | 6,745 | $3.20 | $21,584.00 |
DisclosureSEC source: 0001140361-17-024344 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,177 F1 · kind: In accordance with Rule 16b-3, represents shares withheld by the Issuer to satisfy tax withholding obligation upon vesting of a previously reported restricted stock award. F2 · balance_after: Includes 75,000 Restricted Stock Units to be settled in shares of Common Stock that have not vested as the date hereof. Read SEC document |
| March 30, 2017 Filed Apr 3, 2017 17:06 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantRestricted Stock Units to be settled in Common Stock | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-014424 · form4.xml · nonDerivative · entry 2 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,922 F1 · security: The restricted stock units vest in four equal annual installments on the first, second, third and fourth anniversaries of the grant date. Read SEC document |
| March 30, 2017 Filed Apr 3, 2017 17:06 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantCommon Stock | 16,922 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-014424 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,922 Read SEC document |
| January 09, 2017 Filed Jan 11, 2017 16:30 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | SaleCommon Stock | 3,415 | $4.60 | $15,719.25 |
DisclosureSEC source: 0001140361-17-001564 · form4.xml · nonDerivative · entry 2 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · shares: The shares sold were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person. Read SEC document |
| January 09, 2017 Filed Jan 11, 2017 16:30 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Tax withholdingCommon Stock | 2,056 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-001564 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,415 F1 · price: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 5,471 Restricted Stock Units, the grant of which was previously reported on a Form 4. Read SEC document |
| December 27, 2016 Filed Jan 6, 2017 17:13 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Exercise / conversionOptions to Purchase Common Stock · Derivative | 2,500 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001140361-17-001017 · form4.xml · derivative · entry 3 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,500 Underlying: Common Stock · 2,500 shares Expires 2020-03-09 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 |
| December 27, 2016 Filed Jan 6, 2017 17:13 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | SaleCommon Stock | 2,500 | $5.00 | $12,500.00 |
DisclosureSEC source: 0001140361-17-001017 · form4.xml · nonDerivative · entry 2 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person. F2 · balance_after: Excludes 5,471 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report. Read SEC document |
| December 27, 2016 Filed Jan 6, 2017 17:13 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Exercise / conversionCommon Stock | 2,500 | $2.34 | $5,850.00 |
DisclosureSEC source: 0001140361-17-001017 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 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 · balance_after: Excludes 5,471 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report. Read SEC document |
| November 17, 2016 Filed Nov 21, 2016 16:48 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Exercise / conversionOptions to Purchase Common Stock · Derivative | 2,500 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001140361-16-087418 · form4.xml · derivative · entry 3 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,500 Underlying: Common Stock · 2,500 shares Expires 2020-03-09 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 |
| November 17, 2016 Filed Nov 21, 2016 16:48 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | SaleCommon Stock | 2,500 | $5.00 | $12,500.00 |
DisclosureSEC source: 0001140361-16-087418 · form4.xml · nonDerivative · entry 2 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person. F2 · balance_after: Excludes 5,471 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report. Read SEC document |
| November 17, 2016 Filed Nov 21, 2016 16:48 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Exercise / conversionCommon Stock | 2,500 | $2.34 | $5,850.00 |
DisclosureSEC source: 0001140361-16-087418 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 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 · balance_after: Excludes 5,471 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report. Read SEC document |
| October 06, 2016 Filed Oct 11, 2016 07:01 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | SaleCommon Stock | 3,415 | $4.12 | $14,084.14 |
DisclosureSEC source: 0001140361-16-082360 · form4.xml · nonDerivative · entry 2 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: The shares sold were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person. F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.05 to $4.15, inclusive. The reporting person undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. F2 · balance_after: Excludes 5,471 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report. Read SEC document |
| October 06, 2016 Filed Oct 11, 2016 07:01 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Tax withholdingCommon Stock | 2,055 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-082360 · form4.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,415 F1 · price: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 5,470 Restricted Stock Units, the grant of which was previously reported on a Form 4 F2 · balance_after: Excludes 5,471 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report. Read SEC document |
| September 09, 2016 Filed Sep 12, 2016 17:00 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | SaleCommon Stock | 3,179 | $3.58 | $11,384.00 |
DisclosureSEC source: 0001140361-16-079564 · doc1.xml · nonDerivative · entry 2 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.50 to $3.59, inclusive. The reporting person undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. F2 · balance_after: Excludes 10,941 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 17:00 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | SaleCommon Stock | 11,581 | $3.50 | $40,533.50 |
DisclosureSEC source: 0001140361-16-079564 · doc1.xml · nonDerivative · entry 1 Wirth Edward · CIK 0001532558 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,179 F1 · shares: The shares reported herein were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person. F2 · balance_after: Excludes 10,941 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report. 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.