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LCTX Lineage Cell Therapeutics Inc

1.08
-0.01 (-0.92%)
02 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Lineage Cell Therapeutics Inc AMEX:LCTX AMEX Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -0.01 -0.92% 1.08 1.13 1.09 1.11 566,216 00:10:56

Amended Statement of Changes in Beneficial Ownership (4/a)

16/02/2021 10:38pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

BRADSHER NEAL C
2. Issuer Name and Ticker or Trading Symbol

Lineage Cell Therapeutics, Inc. [ LCTX ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    __X__ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O BROADWOOD CAPITAL INC., 142 WEST 57TH STREET, 11TH FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

7/1/2016
(Street)

NEW YORK, NY 10019
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

7/2/2020 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
OPTION TO PURCHASE COMMON SHARES $1.67 (1)           (2)6/30/2023 COMMON SHARES 49440  49440 D  
OPTION TO PURCHASE COMMON SHARES $2.55 (1)           (2)6/30/2022 COMMON SHARES 24720  24720 D  
OPTION TO PURCHASE COMMON SHARES $2.20 (1)           (2)6/30/2021 COMMON SHARES 24720  24720 D  

Explanation of Responses:
(1) This amendment to the Form 4 filed by Neal C. Bradsher on July 2, 2020 (the "July 2020 Form 4") is being made solely to correct the exercise price of certain options to purchase common shares of Lineage Cell Therapeutics, Inc. (the "Issuer") currently held by Mr. Bradsher (collectively, the "Stock Options"). In particular, the respective exercise prices of these reported Stock Options were adjusted following the distribution of shares of common stock of AgeX Therapeutics, Inc. to the Issuer's shareholders on November 28, 2018 (the "AgeX Distribution"). The number of Stock Options was properly adjusted at the time of the AgeX Distribution; however, the exercise prices of these reported Stock Options were not properly adjusted. For the avoidance of doubt, none of the Stock Options reported in this Form 4 amendment or the July 2020 Form 4 filing have been exercised.
(2) These options are currently exercisable.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
BRADSHER NEAL C
C/O BROADWOOD CAPITAL INC.
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY 10019
XX


Signatures
/s/ Neal C. Bradsher2/16/2021
**Signature of Reporting PersonDate

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