organization · Reporting owner

BROADWOOD CAPITAL INC

Disclosed activity across 5 companies

Tapewire entity: 51159
SEC CIK: 0001278387

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
COMARCO INCCMRO · Entity 173122	10% owner	September 15, 2017	September 18, 2017
Insight Molecular Diagnostics Inc.IMDX · Entity 6631	10% owner	April 23, 2026	April 27, 2026
Lineage Cell Therapeutics, Inc.LCTX · Entity 6045	10% owner	January 27, 2025	January 29, 2025
STAAR SURGICAL COSTAA · Entity 4851	10% owner	March 11, 2026	March 13, 2026

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.

COMARCO INC

Report date September 15, 2017 · Filed September 18, 2017

Jointly reported with BROADWOOD PARTNERS, L.P., Bradsher Neal C

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2017-09-15 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2017-09-15 · Sale · Disposed 1,548,636 · Balance 0 F1: These securities were owned by Broadwood Partners, L.P., which is a Reporting Person. These securities were sold in a private transaction.
Common StockSEC Table I · non-derivative	Direct	15,500	Reported balance Holding disclosure · report date 2017-09-15 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 15,500 F3: These securities are owned by Neal C. Bradsher, who is a Reporting Person.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2017-09-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2017-09-15 · Sale · Disposed 0 · Balance 0 F2: The reported securities were directly owned by Broadwood Partners, L.P. and may have been deemed to have been 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.

Filing footnotes · ownership attribution and instrument terms

F1: These securities were owned by Broadwood Partners, L.P., which is a Reporting Person. These securities were sold in a private transaction.

F2: The reported securities were directly owned by Broadwood Partners, L.P. and may have been deemed to have been 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.

F3: These securities are owned by Neal C. Bradsher, who is a Reporting Person.

Insight Molecular Diagnostics Inc.

Report date April 23, 2026 · Filed April 27, 2026

Jointly reported with BROADWOOD PARTNERS, L.P., Bradsher Neal C

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, no par valueSEC Table I · non-derivative	Direct	12,395,081	Reported balance After 2026-04-23 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2026-04-23 · Purchase · Acquired 280,381 · Balance 12,395,081 F3: This constitutes the weighted average purchase price. The prices range from $3.39 to $3.54. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common Stock, no par valueSEC Table I · non-derivative	Direct	12,433,961	Reported balance After 2026-04-24 transaction · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · 2026-04-24 · Purchase · Acquired 38,880 · Balance 12,433,961 F4: This constitutes the weighted average purchase price. The prices range from $3.47 to $3.59. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common Stock, no par valueSEC Table I · non-derivative	Direct	12,684,884	Reported balance After 2026-04-27 transaction · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · 2026-04-27 · Purchase · Acquired 250,923 · Balance 12,684,884 F5: This constitutes the weighted average purchase price. The prices range from $3.50 to $3.84. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common Stock, no par valueSEC Table I · non-derivative	Direct	157	Reported balance Holding disclosure · report date 2026-04-23 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 157 F2: These securities are directly owned by Neal C. Bradsher.
Common Stock, no par valueSEC Table I · non-derivative	IndirectFootnote	12,395,081	Reported balance After 2026-04-23 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2026-04-23 · Purchase · Acquired 0 · Balance 12,395,081 F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common Stock, no par valueSEC Table I · non-derivative	IndirectFootnote	12,433,961	Reported balance After 2026-04-24 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2026-04-24 · Purchase · Acquired 0 · Balance 12,433,961 F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common Stock, no par valueSEC Table I · non-derivative	IndirectFootnote	12,684,884	Reported balance After 2026-04-27 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 6 · 2026-04-27 · Purchase · Acquired 0 · Balance 12,684,884 F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $30.60 · Expires 2027-04-19	Direct	150,093	Reported balance Holding disclosure · report date 2026-04-23 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 150,093 F6: These warrants are currently exercisable. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $30.60 · Expires 2027-04-19	IndirectFootnote	150,093	Reported balance Holding disclosure · report date 2026-04-23 · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · Balance 150,093 F6: These warrants are currently exercisable. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

F2: These securities are directly owned by Neal C. Bradsher.

F3: This constitutes the weighted average purchase price. The prices range from $3.39 to $3.54. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F4: This constitutes the weighted average purchase price. The prices range from $3.47 to $3.59. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F5: This constitutes the weighted average purchase price. The prices range from $3.50 to $3.84. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F6: These warrants are currently exercisable.

Lineage Cell Therapeutics, Inc.

Report date January 27, 2025 · Filed January 29, 2025

Jointly reported with BROADWOOD PARTNERS, L.P., Bradsher Neal C

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common SharesSEC Table I · non-derivative	Direct	49,560,992	Reported balance After 2025-01-27 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2025-01-27 · Purchase · Acquired 7,894,737 · Balance 49,560,992 F2: On November 19, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Lineage Cell Therapeutics, Inc. (the "Issuer") pursuant to which Broadwood Partners agreed to acquire (i) 7,894,737 of the Issuer's Common Shares, no par value (the "Common Shares") and (ii) 7,894,737 common share purchase warrants (the "Common Warrants"), each of which will be exercisable for one Common Share, from the Issuer in its registered direct offering for a total purchase price of $6,000,000, or $0.76 per Common Share and accompanying Common Warrant (the "Transaction"). The closing of the Transaction was subject to obtaining the approval of the Issuer's shareholders, which was obtained on January 27, 2025, and the closing of the Transaction occurred on the same date. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Common SharesSEC Table I · non-derivative	Direct	87,628	Reported balance Holding disclosure · report date 2025-01-27 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 87,628 F3: These securities are owned by Neal C. Bradsher in his personal capacity.
Common SharesSEC Table I · non-derivative	IndirectSee Footnote	49,560,992	Reported balance After 2025-01-27 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2025-01-27 · Purchase · Acquired 0 · Balance 49,560,992 F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Common WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.91	Direct	7,894,737	Reported balance After 2025-01-27 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2025-01-27 · Purchase · Acquired 7,894,737 · Balance 7,894,737 F2: On November 19, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Lineage Cell Therapeutics, Inc. (the "Issuer") pursuant to which Broadwood Partners agreed to acquire (i) 7,894,737 of the Issuer's Common Shares, no par value (the "Common Shares") and (ii) 7,894,737 common share purchase warrants (the "Common Warrants"), each of which will be exercisable for one Common Share, from the Issuer in its registered direct offering for a total purchase price of $6,000,000, or $0.76 per Common Share and accompanying Common Warrant (the "Transaction"). The closing of the Transaction was subject to obtaining the approval of the Issuer's shareholders, which was obtained on January 27, 2025, and the closing of the Transaction occurred on the same date. F4: The Common Warrants will expire on the earlier of (a) May 21, 2028 and (b) the 90th day following the date of the public disclosure of the intent to advance OpRegen (also known as RG6501) into a multi-center phase 2 or 3 clinical trial which includes a control or comparator arm, or if the date of such public disclosure occurs prior to May 21, 2025, then the 90th day following May 21, 2025. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Common WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.91	IndirectSee Footnote	7,894,737	Reported balance After 2025-01-27 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2025-01-27 · Purchase · Acquired 0 · Balance 7,894,737 F2: On November 19, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Lineage Cell Therapeutics, Inc. (the "Issuer") pursuant to which Broadwood Partners agreed to acquire (i) 7,894,737 of the Issuer's Common Shares, no par value (the "Common Shares") and (ii) 7,894,737 common share purchase warrants (the "Common Warrants"), each of which will be exercisable for one Common Share, from the Issuer in its registered direct offering for a total purchase price of $6,000,000, or $0.76 per Common Share and accompanying Common Warrant (the "Transaction"). The closing of the Transaction was subject to obtaining the approval of the Issuer's shareholders, which was obtained on January 27, 2025, and the closing of the Transaction occurred on the same date. F4: The Common Warrants will expire on the earlier of (a) May 21, 2028 and (b) the 90th day following the date of the public disclosure of the intent to advance OpRegen (also known as RG6501) into a multi-center phase 2 or 3 clinical trial which includes a control or comparator arm, or if the date of such public disclosure occurs prior to May 21, 2025, then the 90th day following May 21, 2025. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2: On November 19, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Lineage Cell Therapeutics, Inc. (the "Issuer") pursuant to which Broadwood Partners agreed to acquire (i) 7,894,737 of the Issuer's Common Shares, no par value (the "Common Shares") and (ii) 7,894,737 common share purchase warrants (the "Common Warrants"), each of which will be exercisable for one Common Share, from the Issuer in its registered direct offering for a total purchase price of $6,000,000, or $0.76 per Common Share and accompanying Common Warrant (the "Transaction"). The closing of the Transaction was subject to obtaining the approval of the Issuer's shareholders, which was obtained on January 27, 2025, and the closing of the Transaction occurred on the same date.

F3: These securities are owned by Neal C. Bradsher in his personal capacity.

F4: The Common Warrants will expire on the earlier of (a) May 21, 2028 and (b) the 90th day following the date of the public disclosure of the intent to advance OpRegen (also known as RG6501) into a multi-center phase 2 or 3 clinical trial which includes a control or comparator arm, or if the date of such public disclosure occurs prior to May 21, 2025, then the 90th day following May 21, 2025.

STAAR SURGICAL CO

Report date March 11, 2026 · Filed March 13, 2026

Jointly reported with BROADWOOD PARTNERS, L.P., Bradsher Neal C

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	15,508,393	Reported balance After 2026-03-11 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2026-03-11 · Purchase · Acquired 54,764 · Balance 15,508,393 F2: This constitutes the weighted average purchase price. The prices range from $17.18 to $17.70. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common StockSEC Table I · non-derivative	Direct	15,807,825	Reported balance After 2026-03-12 transaction · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · 2026-03-12 · Purchase · Acquired 299,432 · Balance 15,807,825 F3: This constitutes the weighted average purchase price. The prices range from $17.43 to $18.39. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common StockSEC Table I · non-derivative	Direct	16,123,842	Reported balance After 2026-03-13 transaction · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · 2026-03-13 · Purchase · Acquired 316,017 · Balance 16,123,842 F4: This constitutes the weighted average purchase price. The prices range from $18.10 to $18.84. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common StockSEC Table I · non-derivative	Direct	25,900	Reported balance Holding disclosure · report date 2026-03-11 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 25,900 F5: These securities are directly owned by Neal C. Bradsher.
Common StockSEC Table I · non-derivative	IndirectFootnote	15,508,393	Reported balance After 2026-03-11 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2026-03-11 · Purchase · Acquired 0 · Balance 15,508,393 F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common StockSEC Table I · non-derivative	IndirectFootnote	15,807,825	Reported balance After 2026-03-12 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2026-03-12 · Purchase · Acquired 0 · Balance 15,807,825 F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.
Common StockSEC Table I · non-derivative	IndirectFootnote	16,123,842	Reported balance After 2026-03-13 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 6 · 2026-03-13 · Purchase · Acquired 0 · Balance 16,123,842 F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

F2: This constitutes the weighted average purchase price. The prices range from $17.18 to $17.70. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F3: This constitutes the weighted average purchase price. The prices range from $17.43 to $18.39. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F4: This constitutes the weighted average purchase price. The prices range from $18.10 to $18.84. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F5: These securities are directly owned by Neal C. Bradsher.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Asterias Biotherapeutics, Inc.

Report date March 08, 2019 · Filed March 12, 2019

Jointly reported with BROADWOOD PARTNERS, L.P., Bradsher Neal C

Section 16 reporting ended · disclosed 2019-03-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2019-03-08 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-03-08 · Other · Disposed 5,292,156 · Balance 0 F1: These securities were disposed of pursuant to a merger between the Issuer and BioTime, Inc. ("BioTime") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of the Issuer's Series A Common Stock was converted into the right to receive 0.71 common shares, no par value, of BioTime. Accordingly, Broadwood Partners, L.P. acquired 3,757,430 common shares of BioTime in the Merger, with each such share having a market value of $1.31 on the effective date of the Merger. F2: These securities are owned by Broadwood Partners, L.P.
Series A Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2019-03-08 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-03-08 · Other · Disposed 0 · Balance 0 F1: These securities were disposed of pursuant to a merger between the Issuer and BioTime, Inc. ("BioTime") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of the Issuer's Series A Common Stock was converted into the right to receive 0.71 common shares, no par value, of BioTime. Accordingly, Broadwood Partners, L.P. acquired 3,757,430 common shares of BioTime in the Merger, with each such share having a market value of $1.31 on the effective date of the Merger. F3: 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.

Filing footnotes · ownership attribution and instrument terms

F1: These securities were disposed of pursuant to a merger between the Issuer and BioTime, Inc. ("BioTime") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of the Issuer's Series A Common Stock was converted into the right to receive 0.71 common shares, no par value, of BioTime. Accordingly, Broadwood Partners, L.P. acquired 3,757,430 common shares of BioTime in the Merger, with each such share having a market value of $1.31 on the effective date of the Merger.

F2: These securities are owned by Broadwood Partners, L.P.

F3: 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.

Transaction history

JSON API

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	Company	Activity / security	Shares / units	Reported price	Reported value	Details
August 14, 2019 Filed Aug 15, 2019 23:05 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	0	$0.00	$0.00	Disclosure SEC 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	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	1,407	$0.98	$1,378.86	Disclosure SEC 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	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	0	$0.00	$0.00	Disclosure SEC 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	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	10,000	$0.99	$9,949.00	Disclosure SEC 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
July 02, 2019 Filed Jul 2, 2019 21:16 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	PurchaseCommon Stock, no par value	0	$2.00	$0.00	Disclosure SEC source: 0000919574-19-004414 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,098,267 F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
July 02, 2019 Filed Jul 2, 2019 21:16 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	PurchaseCommon Stock, no par value	1,000,000	$2.00	$2,000,000.00	Disclosure SEC source: 0000919574-19-004414 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,098,267 F1 · ownership.direct: These securities are directly owned by Broadwood Partners, L.P. Read SEC document
May 03, 2019 Filed May 3, 2019 22:39 UTC	STAAR SURGICAL CO STAA · Entity 4851	PurchaseCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-19-003132 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 10,840,630 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
May 03, 2019 Filed May 3, 2019 22:39 UTC	STAAR SURGICAL CO STAA · Entity 4851	PurchaseCommon Stock	100,000	$22.23	$2,223,000.00	Disclosure SEC source: 0000919574-19-003132 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,840,630 F1 · price: This constitutes the weighted average purchase price. The prices range from $21.80 to $22.91. 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. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
April 16, 2019 Filed Apr 18, 2019 22:35 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	OtherCommon Shares	0	$0.00	$0.00	Disclosure SEC 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	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	OtherCommon Shares	251,835	$1.32	$332,397.02	Disclosure SEC 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 08, 2019 Filed Mar 12, 2019 20:45 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	OtherCommon Shares	0	$0.00	$0.00	Disclosure SEC 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	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	OtherCommon Shares	3,757,430	Not disclosed	Not disclosed	Disclosure SEC 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 12, 2019 20:58 UTC	Asterias Biotherapeutics, Inc. NONE · Entity 159180	OtherSeries A Common Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-19-002302 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · See Remarks Below BROADWOOD CAPITAL INC · CIK 0001278387 · See Remarks Below BRADSHER NEAL C · CIK 0001278388 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: These securities were disposed of pursuant to a merger between the Issuer and BioTime, Inc. ("BioTime") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of the Issuer's Series A Common Stock was converted into the right to receive 0.71 common shares, no par value, of BioTime. Accordingly, Broadwood Partners, L.P. acquired 3,757,430 common shares of BioTime in the Merger, with each such share having a market value of $1.31 on the effective date of the Merger. 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
March 08, 2019 Filed Mar 12, 2019 20:58 UTC	Asterias Biotherapeutics, Inc. NONE · Entity 159180	OtherSeries A Common Stock	5,292,156	Not disclosed	Not disclosed	Disclosure SEC source: 0000919574-19-002302 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · See Remarks Below BROADWOOD CAPITAL INC · CIK 0001278387 · See Remarks Below BRADSHER NEAL C · CIK 0001278388 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: These securities were disposed of pursuant to a merger between the Issuer and BioTime, Inc. ("BioTime") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of the Issuer's Series A Common Stock was converted into the right to receive 0.71 common shares, no par value, of BioTime. Accordingly, Broadwood Partners, L.P. acquired 3,757,430 common shares of BioTime in the Merger, with each such share having a market value of $1.31 on the effective date of the Merger. F1 · price: These securities were disposed of pursuant to a merger between the Issuer and BioTime, Inc. ("BioTime") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of the Issuer's Series A Common Stock was converted into the right to receive 0.71 common shares, no par value, of BioTime. Accordingly, Broadwood Partners, L.P. acquired 3,757,430 common shares of BioTime in the Merger, with each such share having a market value of $1.31 on the effective date of the Merger. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P. Read SEC document
February 08, 2019 Filed Feb 12, 2019 22:23 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	PurchaseCommon Stock, no par value	0	$3.75	$0.00	Disclosure SEC source: 0000919574-19-001040 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,098,267 F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
February 08, 2019 Filed Feb 12, 2019 22:23 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	PurchaseCommon Stock, no par value	533,333	$3.75	$1,999,998.75	Disclosure SEC source: 0000919574-19-001040 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,098,267 F1 · ownership.direct: These securities are directly owned by Broadwood Partners, L.P. Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:54 UTC	STAAR SURGICAL CO STAA · Entity 4851	OtherCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-18-006470 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 10,740,630 F1 · kind: The shares were transferred to a limited partner of Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P. F1 · price: The shares were transferred to a limited partner of Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P. 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
October 01, 2018 Filed Oct 3, 2018 22:54 UTC	STAAR SURGICAL CO STAA · Entity 4851	OtherCommon Stock	114,549	$0.00	$0.00	Disclosure SEC source: 0000919574-18-006470 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,740,630 F1 · kind: The shares were transferred to a limited partner of Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P. F1 · price: The shares were transferred to a limited partner of Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
March 28, 2018 Filed Mar 30, 2018 20:28 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	PurchaseCommon Stock, no par value	0	$1.26	$0.00	Disclosure SEC source: 0000919574-18-002770 · p7856000.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 7,564,934 F1 · price: On March 28, 2018, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Securities Purchase Agreement pursuant to which BPLP purchased 3,968,254 shares of the Issuer's Common Stock, no par value, at a purchase price of $1.26 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 28, 2018 Filed Mar 30, 2018 20:28 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	PurchaseCommon Stock, no par value	3,968,254	$1.26	$5,000,000.04	Disclosure SEC source: 0000919574-18-002770 · p7856000.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,564,934 F1 · price: On March 28, 2018, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Securities Purchase Agreement pursuant to which BPLP purchased 3,968,254 shares of the Issuer's Common Stock, no par value, at a purchase price of $1.26 per share. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
October 16, 2017 Filed Oct 18, 2017 21:34 UTC	Asterias Biotherapeutics, Inc. NONE · Entity 159180	PurchaseSeries A Common Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-17-007346 · p7684593.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · See Remarks Section BROADWOOD CAPITAL INC · CIK 0001278387 · See Remarks Section BRADSHER NEAL C · CIK 0001278388 · See Remarks Section Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 5,292,156 F2 · 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
October 16, 2017 Filed Oct 18, 2017 21:34 UTC	Asterias Biotherapeutics, Inc. NONE · Entity 159180	PurchaseSeries A Common Stock	1,592,308	$2.60	$4,140,000.80	Disclosure SEC source: 0000919574-17-007346 · p7684593.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · See Remarks Section BROADWOOD CAPITAL INC · CIK 0001278387 · See Remarks Section BRADSHER NEAL C · CIK 0001278388 · See Remarks Section Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,292,156 F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
October 13, 2017 Filed Oct 17, 2017 21:58 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	PurchaseCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-17-007337 · p7683481.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 · Footnote Disclosed balance after: 29,971,561 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
October 13, 2017 Filed Oct 17, 2017 21:58 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	PurchaseCommon Stock	2,692,307	$2.60	$6,999,998.20	Disclosure SEC source: 0000919574-17-007337 · p7683481.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: 29,971,561 F1 · price: On October 13, 2017, Broadwood Partners, L.P. agreed to purchase 2,692,307 shares of the Issuer's common stock in the Issuer's current public offering of 9,615,385 shares at the public offering price of $2.60 per share. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
September 15, 2017 Filed Sep 18, 2017 17:22 UTC	COMARCO INC CMRO · Entity 173122	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-17-006806 · p7654522.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F2 · ownership.nature: The reported securities were directly owned by Broadwood Partners, L.P. and may have been deemed to have been beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
September 15, 2017 Filed Sep 18, 2017 17:22 UTC	COMARCO INC CMRO · Entity 173122	SaleCommon Stock	1,548,636	$0.00	$1,548.64	Disclosure SEC source: 0000919574-17-006806 · p7654522.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · ownership.direct: These securities were owned by Broadwood Partners, L.P., which is a Reporting Person. These securities were sold in a private transaction. Read SEC document
September 11, 2017 Filed Sep 13, 2017 18:35 UTC	COMARCO INC CMRO · Entity 173122	OtherRights to be Issued Warrants · Derivative	0	Not disclosed Strike: $0.05	Not disclosed	Disclosure SEC source: 0000919574-17-006733 · p7653609.xml · derivative · entry 4 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 18,026,500 Underlying: Common Shares · 0 shares Expires not disclosed F1 · kind: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · kind: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · price: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · price: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · derivative.exercise_date: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.exercise_date: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · derivative.expiration_date: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.expiration_date: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F5 · 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
September 11, 2017 Filed Sep 13, 2017 18:35 UTC	COMARCO INC CMRO · Entity 173122	OtherRights to be Issued Warrants · Derivative	18,026,500	Not disclosed Strike: $0.05	Not disclosed	Disclosure SEC source: 0000919574-17-006733 · p7653609.xml · derivative · entry 3 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,026,500 Underlying: Common Shares · 18,026,500 shares Expires not disclosed F1 · kind: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · kind: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · price: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · price: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · derivative.exercise_date: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.exercise_date: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · derivative.expiration_date: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.expiration_date: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F4 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
September 11, 2017 Filed Sep 13, 2017 18:35 UTC	COMARCO INC CMRO · Entity 173122	PurchaseSeries A Contingent Convertible Preferred Stock · Derivative	0	Not disclosed	Not disclosed	Disclosure SEC source: 0000919574-17-006733 · p7653609.xml · derivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,000,000 Underlying: Common Shares · 0 shares Expires not disclosed F1 · derivative.exercise_price: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.exercise_price: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · price: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · price: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · derivative.exercise_date: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.exercise_date: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · derivative.expiration_date: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.expiration_date: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F5 · 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
September 11, 2017 Filed Sep 13, 2017 18:35 UTC	COMARCO INC CMRO · Entity 173122	PurchaseSeries A Contingent Convertible Preferred Stock · Derivative	5,000,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000919574-17-006733 · p7653609.xml · derivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000,000 Underlying: Common Shares · 5,000,000 shares Expires not disclosed F1 · derivative.exercise_price: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.exercise_price: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · price: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · price: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · derivative.exercise_date: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.exercise_date: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F1 · derivative.expiration_date: On September 11, 2017, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Subscription Agreement for Series A Convertible Preferred Stock (the "Subscription Agreement") pursuant to which BPLP purchased 5,000,000 shares of the Issuer's Series A Convertible Preferred Stock, no par value per share (the "Series A Preferred Stock"), at a purchase price of $0.10 per share. The Subscription Agreement provides that, immediately upon the occurrence of any "Triggering Event" (as such term is defined in the Issuer's Amended and Restated Certificate of Determination of Preferences of Series A Contingent Convertible Preferred Stock, which was filed on Exhibit 3.2 to the Form 8-K filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 13, 2017), each share of Series A Preferred Stock held by BPLP will automatically convert into one share of the Issuer's common stock (subject to adjustment for stock splits and similar transactions). F2 · derivative.expiration_date: (Continued from Footnote 1) The Subscription Agreement also provides that, upon the earlier of (i) a Triggering Event, or (ii) immediately prior to the liquidation, dissolution or winding up of the Issuer, the Issuer will issue to BPLP warrants to purchase 18,026,500 common shares of the Issuer. If issued, the warrants will have a term of eight years from the date of issuance and an exercise price of $0.05 per share of the Issuer's common stock. Further, if any of the shares of Series A Preferred Stock remain outstanding three years from the date of issuance, then on the date of that third anniversary, the Issuer will repurchase those outstanding shares of Series A Preferred Stock at $0.10 per share. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the Form 8-K and exhibits attached thereto filed with the SEC by the Issuer on September 13, 2017. F4 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
August 22, 2017 Filed Aug 24, 2017 22:58 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	PurchaseCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-17-006374 · p7599978.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 27,279,254 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
August 22, 2017 Filed Aug 24, 2017 22:58 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	PurchaseCommon Stock	10,000	$2.60	$25,955.00	Disclosure SEC source: 0000919574-17-006374 · p7599978.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,279,254 F1 · price: This constitutes the weighted average purchase price. The prices range from $2.55 to $2.66. 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. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
July 31, 2017 Filed Aug 2, 2017 22:37 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	PurchaseCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-17-005711 · p7582267.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 · Footnote Disclosed balance after: 27,269,254 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
July 31, 2017 Filed Aug 2, 2017 22:37 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	PurchaseCommon Stock	150,000	$2.80	$420,000.00	Disclosure SEC source: 0000919574-17-005711 · p7582267.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: 27,269,254 F1 · shares: The securities were purchased in a private transaction. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
July 21, 2017 Filed Jul 25, 2017 21:14 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	0	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-17-005589 · p7576208.xml · derivative · entry 7 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 270,000 Underlying: Common Stock · 0 shares Expires 2022-07-21 F5 · kind: In consideration for the early exercise by Broadwood Partners, L.P. of 540,000 warrants on July 21, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F5 · price: In consideration for the early exercise by Broadwood Partners, L.P. of 540,000 warrants on July 21, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F3 · derivative.exercise_date: These warrants are currently exercisable. F2 · 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
July 21, 2017 Filed Jul 25, 2017 21:14 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	270,000	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-17-005589 · p7576208.xml · derivative · entry 6 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,000 Underlying: Common Stock · 270,000 shares Expires 2022-07-21 F5 · kind: In consideration for the early exercise by Broadwood Partners, L.P. of 540,000 warrants on July 21, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F5 · price: In consideration for the early exercise by Broadwood Partners, L.P. of 540,000 warrants on July 21, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F3 · derivative.exercise_date: These warrants are currently exercisable. F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
July 21, 2017 Filed Jul 25, 2017 21:14 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	0	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-17-005589 · p7576208.xml · derivative · entry 5 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 573,461 Underlying: Common Stock · 0 shares Expires 2021-10-17 F4 · price: These warrants were purchased as part of a unit, with each unit consisting of one share and one warrant (each warrant entitles the holder to purchase one share), at a price of $3.25 per unit. F3 · derivative.exercise_date: These warrants are currently exercisable. F2 · 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
July 21, 2017 Filed Jul 25, 2017 21:14 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	540,000	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-17-005589 · p7576208.xml · derivative · entry 4 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 573,461 Underlying: Common Stock · 540,000 shares Expires 2021-10-17 F4 · price: These warrants were purchased as part of a unit, with each unit consisting of one share and one warrant (each warrant entitles the holder to purchase one share), at a price of $3.25 per unit. F3 · derivative.exercise_date: These warrants are currently exercisable. F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
July 21, 2017 Filed Jul 25, 2017 21:14 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherCommon Stock, no par value	0	$3.25	$0.00	Disclosure SEC source: 0000919574-17-005589 · p7576208.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 3,596,680 F2 · 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
July 21, 2017 Filed Jul 25, 2017 21:14 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherCommon Stock, no par value	540,000	$3.25	$1,755,000.00	Disclosure SEC source: 0000919574-17-005589 · p7576208.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,596,680 F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
February 17, 2017 Filed Feb 22, 2017 22:10 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	0	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-17-002207 · p7419398.xml · derivative · entry 6 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 212,500 Underlying: Common Stock · 0 shares Expires 2022-02-17 F5 · kind: In consideration for the early exercise by Broadwood Partners, L.P. of 425,000 warrants on February 17, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F5 · price: In consideration for the early exercise by Broadwood Partners, L.P. of 425,000 warrants on February 17, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F3 · derivative.exercise_date: These warrants are currently exercisable. F2 · 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
February 17, 2017 Filed Feb 22, 2017 22:10 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	212,500	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-17-002207 · p7419398.xml · derivative · entry 5 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,500 Underlying: Common Stock · 212,500 shares Expires 2022-02-17 F5 · kind: In consideration for the early exercise by Broadwood Partners, L.P. of 425,000 warrants on February 17, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F5 · price: In consideration for the early exercise by Broadwood Partners, L.P. of 425,000 warrants on February 17, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F3 · derivative.exercise_date: These warrants are currently exercisable. F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
February 17, 2017 Filed Feb 22, 2017 22:10 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	0	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-17-002207 · p7419398.xml · derivative · entry 4 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 1,113,461 Underlying: Common Stock · 0 shares Expires 2021-10-17 F4 · price: These warrants were purchased as part of a unit, with each unit consisting of one share and one warrant (each warrant entitles the holder to purchase one share), at a price of $3.25 per unit. F3 · derivative.exercise_date: These warrants are currently exercisable. F2 · 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
February 17, 2017 Filed Feb 22, 2017 22:10 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	425,000	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-17-002207 · p7419398.xml · derivative · entry 3 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,113,461 Underlying: Common Stock · 425,000 shares Expires 2021-10-17 F4 · price: These warrants were purchased as part of a unit, with each unit consisting of one share and one warrant (each warrant entitles the holder to purchase one share), at a price of $3.25 per unit. F3 · derivative.exercise_date: These warrants are currently exercisable. F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
February 17, 2017 Filed Feb 22, 2017 22:10 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherCommon Stock, no par value	0	$3.25	$0.00	Disclosure SEC source: 0000919574-17-002207 · p7419398.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 3,056,680 F2 · 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
February 17, 2017 Filed Feb 22, 2017 22:10 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherCommon Stock, no par value	425,000	$3.25	$1,381,250.00	Disclosure SEC source: 0000919574-17-002207 · p7419398.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,056,680 F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document
February 15, 2017 Filed Feb 17, 2017 22:02 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	PurchaseCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-17-002158 · p7416080.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: 27,119,254 F2 · 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
February 15, 2017 Filed Feb 17, 2017 22:02 UTC	Lineage Cell Therapeutics, Inc. BTX · Entity 6045	PurchaseCommon Stock	2,222,222	$2.70	$5,999,999.40	Disclosure SEC source: 0000919574-17-002158 · p7416080.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: 27,119,254 F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. 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.