Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Asterias Biotherapeutics, Inc.AST · Entity 159180 | Director | June 21, 2018 | June 25, 2018 |
| Insight Molecular Diagnostics Inc.OCX · Entity 6631 | Director | June 15, 2017 | June 19, 2017 |
| Lineage Cell Therapeutics, Inc.LCTX · Entity 6045 | Director | July 01, 2024 | July 03, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Asterias Biotherapeutics, Inc.
Report date June 21, 2018 · Filed June 25, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2028-06-21 | Direct | 75,000 |
Reported balance
After 2018-06-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-06-21 · Grant · Acquired 75,000 · Balance 75,000 F1: The stock options vest equally over the next four quarters, beginning on the June 30, 2018 contingent upon continued service on the Board of Directors. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.45 · Expires 2027-03-29 | Direct | 75,000 |
Reported balance
Holding disclosure · report date 2018-06-21 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 75,000 |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.64 · Expires 2026-02-28 | Direct | 75,000 |
Reported balance
Holding disclosure · report date 2018-06-21 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 75,000 |
| Series A Common StockSEC Table I · non-derivative | Direct | 88,235 |
Reported balance
Holding disclosure · report date 2018-06-21 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 88,235 |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $4.37 · Expires 2021-05-13 | Direct | 44,117 |
Reported balance
Holding disclosure · report date 2018-06-21 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 44,117 |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options vest equally over the next four quarters, beginning on the June 30, 2018 contingent upon continued service on the Board of Directors.
Insight Molecular Diagnostics Inc.
Report date June 15, 2017 · Filed June 19, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.10 · Expires 2027-06-14 | Direct | 6,520 |
Reported balance
After 2017-06-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-06-15 · Grant · Acquired 6,520 · Balance 6,520 F2: Options are granted to directors annually. These options are a "transitional grant" reflecting the change in the date of the annual grant from February to the date of the annual meeting of shareholders. The options are 32.60% of the annual grant for the 119-day gap between February 16, 2017, one year from the last annual grant, and June 15, 2017, date of the full annual grant for 2017-2018. F3: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.10 · Expires 2027-06-14 | Direct | 20,000 |
Reported balance
After 2017-06-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-06-15 · Grant · Acquired 20,000 · Balance 20,000 F3: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. |
| Common StockSEC Table I · non-derivative | Direct | 247,001 |
Reported balance
Holding disclosure · report date 2017-06-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 247,001 F1: The shares are held by Mr. Bailey and his wife as co-trustees of a revocable trust, and in such capacity Mr. Bailey and his wife have shared voting and dispositive power over the shares. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held by Mr. Bailey and his wife as co-trustees of a revocable trust, and in such capacity Mr. Bailey and his wife have shared voting and dispositive power over the shares.
F2: Options are granted to directors annually. These options are a "transitional grant" reflecting the change in the date of the annual grant from February to the date of the annual meeting of shareholders. The options are 32.60% of the annual grant for the 119-day gap between February 16, 2017, one year from the last annual grant, and June 15, 2017, date of the full annual grant for 2017-2018.
F3: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017.
Lineage Cell Therapeutics, Inc.
Report date July 01, 2024 · Filed July 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.95 · Expires 2034-07-01 | Direct | 75,000 |
Reported balance
After 2024-07-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-07-01 · Grant · Acquired 75,000 · Balance 75,000 F1: Will vest and become exercisable on July 1, 2025, subject to the reporting person's continuous service with the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Will vest and become exercisable on July 1, 2025, subject to the reporting person's continuous service with the issuer.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 01, 2024 Filed Jul 3, 2024 21:00 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC source: 0000950170-24-081605 · ownership.xml · derivative · entry 1 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Shares · 75,000 shares Expires 2034-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on July 1, 2025, subject to the reporting person's continuous service with the issuer. Read SEC document |
| February 08, 2024 Filed Feb 9, 2024 00:00 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | PurchaseCommon Shares, no par value | 96,155 | $1.04 | $100,001.20 |
DisclosureSEC source: 0001493152-24-005510 · ownership.xml · nonDerivative · entry 1 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Bailey Family Trust Disclosed balance after: 158,801 F1 · balance_after: Does not include common shares that may be acquired upon the exercise of stock options outstanding as of the date of this report. Read SEC document |
| July 01, 2023 Filed Jul 3, 2023 21:46 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC source: 0001493152-23-023344 · ownership.xml · derivative · entry 1 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2033-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on July 1, 2024, subject to the reporting person's continuous service with the issuer. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 20:15 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $1.57 | $0.00 |
DisclosureSEC source: 0001493152-22-018680 · ownership.xml · derivative · entry 1 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2032-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on July 1, 2023, subject to the reporting person's continuous service with the issuer. Read SEC document |
| July 01, 2021 Filed Jul 1, 2021 22:32 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $2.86 | $0.00 |
DisclosureSEC source: 0001493152-21-015892 · ownership.xml · derivative · entry 1 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2031-07-01 F1 · derivative.exercise_date: Will vest and become exercisable on July 1, 2022, subject to the reporting person's continuous service with the issuer. Read SEC document |
| July 01, 2020 Filed Jul 2, 2020 21:03 UTC | Lineage Cell Therapeutics, Inc. LCTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $0.83 | $0.00 |
DisclosureSEC source: 0001493152-20-012538 · ownership.xml · derivative · entry 1 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2030-07-01 F1 · derivative.exercise_date: Will become exercisable on July 1, 2021, based upon continued service on the board of directors. Read SEC document |
| July 01, 2019 Filed Jul 4, 2019 01:22 UTC | Lineage Cell Therapeutics, Inc. BTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-19-041312 · doc4.xml · derivative · entry 1 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2029-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2020, based upon continued service on the board of directors. Read SEC document |
| March 19, 2019 Filed Jul 4, 2019 01:22 UTC | Lineage Cell Therapeutics, Inc. BTX · Entity 6045 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $1.57 | $0.00 |
DisclosureSEC source: 0001209191-19-041312 · doc4.xml · derivative · entry 2 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Shares · 60,000 shares Expires 2029-03-18 F2 · derivative.exercise_date: Will become exercisable on March 19, 2020, based upon continued service on the board of directors. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 16:40 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantStock Options · Derivative | 75,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001140361-18-029801 · form4.xml · derivative · entry 2 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-06-21 F1 · derivative.exercise_date: The stock options vest equally over the next four quarters, beginning on the June 30, 2018 contingent upon continued service on the Board of Directors. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 21:17 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantOption to Purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-17-040978 · doc4.xml · derivative · entry 3 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-14 F3 · derivative.exercise_date: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 21:17 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantOption to Purchase Common Stock · Derivative | 6,520 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-17-040978 · doc4.xml · derivative · entry 2 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,520 Underlying: Common Stock · 6,520 shares Expires 2027-06-14 F2 · shares: Options are granted to directors annually. These options are a "transitional grant" reflecting the change in the date of the annual grant from February to the date of the annual meeting of shareholders. The options are 32.60% of the annual grant for the 119-day gap between February 16, 2017, one year from the last annual grant, and June 15, 2017, date of the full annual grant for 2017-2018. F3 · derivative.exercise_date: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. Read SEC document |
| March 30, 2017 Filed Apr 3, 2017 17:00 UTC | Asterias Biotherapeutics, Inc. AST · Entity 159180 | GrantStock Options · Derivative | 75,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001140361-17-014409 · form4.xml · derivative · entry 1 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2027-03-29 F1 · security: The stock options vest over four equal quarterly installments beginning on March 31, 2017, contingent upon continued service on the Board of Directors. Read SEC document |
| October 17, 2016 Filed Oct 19, 2016 21:24 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantWarrant to Purchase Common Stock · Derivative | 230,769 | $0.00 Strike: $3.25 | $0.00 |
DisclosureSEC source: 0001209191-16-146423 · doc4.xml · derivative · entry 2 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,769 Underlying: Common Stock · 230,769 shares Expires not disclosed F2 · derivative.exercise_date: These warrants became exercisable on October 17, 2016, the date shareholders approved the issuance of OncoCyte common stock upon exercise of the warrants, and may be exercised for five years from the date they became exercisable. F2 · derivative.expiration_date: These warrants became exercisable on October 17, 2016, the date shareholders approved the issuance of OncoCyte common stock upon exercise of the warrants, and may be exercised for five years from the date they became exercisable. F1 · ownership.direct: The shares are held by Mr. Bailey and his wife as co-trustees of a revocable trust, and in such capacity Mr. Bailey and his wife have shared voting and dispositive power over the shares. 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.