Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Asterias Biotherapeutics, Inc.AST · Entity 159180 | Director · President and CEO | March 01, 2019 | March 05, 2019 |
| Lineage Cell Therapeutics, Inc.LCTX · Entity 6045 | Director | July 01, 2026 | July 02, 2026 |
| Serina Therapeutics, Inc.AGE · Entity 9581 | Director | March 11, 2019 | March 14, 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 | 273,622 |
Ending reported balance
After 2019-03-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-03-01 · Grant · Acquired 252,606 · Balance 350,210 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 76,588 · Balance 273,622 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 | 200,000 |
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 200,000 F3: Subject to Mr. Mulroy'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 $3.70 · Expires 2027-06-25 | Direct | 800,000 |
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 800,000 F4: Subject to Mr. Mulroy's continued employment with the Company, the stock options vest in equal monthly installments over 48 months commencing on July 31, 2017. 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. Mulroy'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. Mulroy's continued employment with the Company, the stock options vest in equal monthly installments over 48 months commencing on July 31, 2017. The stock options are exercisable upon vesting.
Lineage Cell Therapeutics, Inc.
Report date July 01, 2026 · Filed July 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.30 · Expires 2036-07-01 | Direct | 125,000 |
Reported balance
After 2026-07-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-07-01 · Grant · Acquired 125,000 · Balance 125,000 F1: Will vest and become exercisable on the earlier of July 1, 2027 and the date of the issuer's next annual meeting of shareholders, subject in any case to the reporting person's continuous service with the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Will vest and become exercisable on the earlier of July 1, 2027 and the date of the issuer's next annual meeting of shareholders, subject in any case to the reporting person's continuous service with the issuer.
Serina Therapeutics, Inc.
Report date March 11, 2019 · Filed March 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.28 · Expires 2029-03-10 | Direct | 65,000 |
Reported balance
After 2019-03-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-03-11 · Grant · Acquired 65,000 · Balance 65,000 F1: Options will become exercisable in four equal quarterly installments from the date of grant on March 11, 2019 provided that the grantee remains a director on the last day of the applicable calendar quarter. |
Filing footnotes · ownership attribution and instrument terms
F1: Options will become exercisable in four equal quarterly installments from the date of grant on March 11, 2019 provided that the grantee remains a director on the last day of the applicable calendar quarter.
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 |
|---|---|---|---|---|---|---|
| July 01, 2026 Filed Jul 2, 2026 21:00 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $1.30 | $0.00 |
DisclosureSEC source: 0001193125-26-294871 · ownership.xml · derivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Shares · 125,000 shares Expires 2036-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on the earlier of July 1, 2027 and the date of the issuer's next annual meeting of shareholders, subject in any case to the reporting person's continuous service with the issuer. Read SEC document |
| July 01, 2025 Filed Jul 3, 2025 01:00 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $0.90 | $0.00 |
DisclosureSEC source: 0000950170-25-093467 · ownership.xml · derivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Shares · 75,000 shares Expires 2035-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on the earlier of July 1, 2026 and the date of the issuer's next annual meeting of shareholders, subject in any case to the reporting person's continuous service with the issuer. Read SEC document |
| November 22, 2024 Filed Nov 25, 2024 21:30 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | PurchaseCommon Shares | 40,000 | $0.57 | $22,640.00 |
DisclosureSEC source: 0000950170-24-130592 · ownership.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 298,555 Read SEC document |
| July 01, 2024 Filed Jul 3, 2024 21:00 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC source: 0000950170-24-081607 · ownership.xml · derivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Shares · 75,000 shares Expires 2034-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on July 1, 2025, subject to the reporting person's continuous service with the issuer. Read SEC document |
| July 01, 2023 Filed Jul 3, 2023 21:46 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC source: 0001493152-23-023347 · ownership.xml · derivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2033-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on July 1, 2024, subject to the reporting person's continuous service with the issuer. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 20:15 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $1.57 | $0.00 |
DisclosureSEC source: 0001493152-22-018682 · ownership.xml · derivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2032-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on July 1, 2023, subject to the reporting person's continuous service with the issuer. Read SEC document |
| March 24, 2022 Filed Mar 25, 2022 20:15 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | PurchaseCommon Shares, no par value | 7,000 | $1.40 | $9,800.00 |
DisclosureSEC source: 0001493152-22-007754 · ownership.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,555 F1 · price: The price reported is a weighted average. The shares were purchased in multiple transactions at prices ranging from not less than $1.40 to not more than $1.41. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document |
| July 01, 2021 Filed Jul 1, 2021 22:19 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $2.86 | $0.00 |
DisclosureSEC source: 0001493152-21-015882 · ownership.xml · derivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2031-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on July 1, 2022, subject to the reporting person's continuous service with the issuer. Read SEC document |
| June 18, 2021 Filed Jun 21, 2021 20:15 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | Exercise / conversionStock Option (right to buy) · Derivative | 24,720 | $0.00 Strike: $2.20 | $0.00 |
DisclosureSEC source: 0001493152-21-014860 · ownership.xml · derivative · entry 2 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 24,720 shares Expires 2021-06-30 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 · derivative.exercise_date: This option became exercisable in four equal quarterly installments after the date of grant on July 1, 2016. Read SEC document |
| June 18, 2021 Filed Jun 21, 2021 20:15 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | Exercise / conversionCommon Shares, no par value | 24,720 | $2.20 | $54,384.00 |
DisclosureSEC source: 0001493152-21-014860 · ownership.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,555 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 |
| July 01, 2020 Filed Jul 2, 2020 21:04 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $0.83 | $0.00 |
DisclosureSEC source: 0001493152-20-012539 · ownership.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 2030-07-01 F1 · derivative.exercise_date: Will become exercisable on July 1, 2021, based upon continued service on the board of directors. Read SEC document |
| July 01, 2019 Filed Jul 4, 2019 01:12 UTC | Lineage Cell Therapeutics, Inc. BTX · Entity 6045 | 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 |
| March 11, 2019 Filed Mar 14, 2019 01:03 UTC | Serina Therapeutics, Inc. AGE · Entity 9581 | GrantOption to Purchase Common Stock · Derivative | 65,000 | $0.00 Strike: $4.28 | $0.00 |
DisclosureSEC source: 0001209191-19-019313 · doc4.xml · derivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2029-03-10 F1 · derivative.exercise_date: Options will become exercisable in four equal quarterly installments from the date of grant on March 11, 2019 provided that the grantee remains a director on the last day of the applicable calendar quarter. Read SEC document |
| March 08, 2019 Filed Mar 15, 2019 20:49 UTC | Lineage Cell Therapeutics, Inc. BTX · Entity 6045 | 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 01, 2019 Filed Mar 5, 2019 21:31 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Tax withholdingCommon Stock | 76,588 | $0.95 | $72,758.60 |
DisclosureSEC source: 0001140361-19-004431 · form4.xml · nonDerivative · entry 2 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,622 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 21:31 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantCommon Stock | 252,606 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-19-004431 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,210 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 |
| August 27, 2018 Filed Aug 29, 2018 12:02 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 3,141 | $1.59 | $4,999.84 |
DisclosureSEC source: 0001140361-18-037213 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,604 F1 · price: The shares were purchased in multiple trades at prices ranging from $1.575 to $1.60. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 20:00 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 2,950 | $1.69 | $4,999.96 |
DisclosureSEC source: 0001140361-18-033875 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,463 F1 · price: The shares were purchased in multiple trades at prices ranging from $1.675 to $1.70. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 22:22 UTC | Lineage Cell Therapeutics, Inc. BTX · Entity 6045 | GrantOption to Purchase Common Shares · Derivative | 40,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001209191-18-041303 · doc4.xml · derivative · entry 2 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 2023-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2019, based upon continued service on the board of directors. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 11:03 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 3,067 | $1.63 | $4,999.21 |
DisclosureSEC source: 0001140361-18-030023 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,513 F1 · price: The shares were purchased in multiple trades at prices ranging from $1.60 to $1.707. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| May 25, 2018 Filed May 31, 2018 21:00 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 3,153 | $1.59 | $4,999.71 |
DisclosureSEC source: 0001140361-18-026566 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,446 F1 · price: The shares were purchased in multiple trades at prices ranging from $1.575 to $1.60. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| April 25, 2018 Filed Apr 27, 2018 20:33 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 3,752 | $1.33 | $4,990.16 |
DisclosureSEC source: 0001140361-18-020186 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,293 F1 · price: The shares were purchased in multiple trades at prices ranging from $1.275 to $1.45. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| March 26, 2018 Filed Mar 28, 2018 21:00 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 2,839 | $1.76 | $4,996.64 |
DisclosureSEC source: 0001140361-18-015535 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,541 F1 · price: The shares were purchased in multiple trades at prices ranging from $1.75 to $1.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 23:03 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantStock Options · Derivative | 200,000 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001140361-18-014136 · form4.xml · derivative · entry 3 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2028-03-14 F2 · derivative.exercise_date: Subject to Mr. Mulroy'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 23:03 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | Tax withholdingCommon Stock | 28,358 | $1.95 | $55,298.10 |
DisclosureSEC source: 0001140361-18-014136 · form4.xml · nonDerivative · entry 2 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,702 F1 · kind: Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the grant of 94,782 shares of restricted stock, which is reported herewith on this Form 4. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 23:03 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantCommon Stock | 94,872 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-014136 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,060 Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 21:21 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 2,255 | $2.22 | $4,999.79 |
DisclosureSEC source: 0001140361-18-010811 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,188 F1 · price: The shares were purchased in multiple trades at prices ranging from $2.175 to $2.225. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| January 25, 2018 Filed Jan 26, 2018 21:01 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 2,134 | $2.34 | $4,999.96 |
DisclosureSEC source: 0001140361-18-003400 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,933 F1 · price: The shares were purchased in multiple trades at prices ranging from $2.325 to $2.35. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| December 26, 2017 Filed Dec 29, 2017 00:41 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 2,247 | $2.22 | $4,988.34 |
DisclosureSEC source: 0001140361-17-047667 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,799 F1 · price: The shares were purchased in multiple trades at prices ranging from $2.15 to $2.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · balance_after: The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 21:01 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 2,076 | $2.41 | $5,003.16 |
DisclosureSEC source: 0001140361-17-044157 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,552 F1 · price: The shares were purchased in multiple trades at prices ranging from $2.35 to $2.45. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · balance_after: The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| October 25, 2017 Filed Oct 27, 2017 20:00 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 1,939 | $2.55 | $4,944.45 |
DisclosureSEC source: 0001140361-17-039812 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,476 F1 · price: The shares were purchased in multiple trades at prices ranging from $2.525 to $2.60. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · balance_after: The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| September 25, 2017 Filed Sep 27, 2017 18:04 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | PurchaseCommon Stock | 1,537 | $3.25 | $4,996.79 |
DisclosureSEC source: 0001140361-17-036580 · form4.xml · nonDerivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,537 F1 · price: The shares were purchased in multiple trades at prices ranging from $3.175 to $3.35. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · balance_after: The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 23:46 UTC | Lineage Cell Therapeutics, Inc. BTX · Entity 6045 | GrantOption to Purchase Common Shares · Derivative | 20,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-17-043774 · doc4.xml · derivative · entry 2 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Shares · 20,000 shares Expires 2022-06-30 F1 · derivative.exercise_date: Will become exercisable in four equal quarterly installments after the date of grant on July 1, 2017 based upon continued service on the board of directors. Read SEC document |
| June 26, 2017 Filed Jun 28, 2017 20:02 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantStock Options (right to buy) · Derivative | 800,000 | $0.00 Strike: $3.70 | $0.00 |
DisclosureSEC source: 0001140361-17-026470 · form4.xml · derivative · entry 1 Mulroy Michael H. · CIK 0001509725 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800,000 Underlying: Common Stock · 800,000 shares Expires 2027-06-26 F1 · derivative.exercise_date: Subject to Mr. Mulroy's continued employment with the Company, the stock options vest in equal monthly installments over 48 months commencing on July 31, 2017. The stock options are exercisable upon vesting. 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.