0001140361-15-027417.txt : 20150713 0001140361-15-027417.hdr.sgml : 20150713 20150713163430 ACCESSION NUMBER: 0001140361-15-027417 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150709 FILED AS OF DATE: 20150713 DATE AS OF CHANGE: 20150713 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Asterias Biotherapeutics, Inc. CENTRAL INDEX KEY: 0001572552 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 461047971 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 230 CONSTITUTION DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 510-521-3390 MAIL ADDRESS: STREET 1: 230 CONSTITUTION DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICCIARDI NATALE S CENTRAL INDEX KEY: 0001107158 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36646 FILM NUMBER: 15985792 MAIL ADDRESS: STREET 1: C/O MORRIS COMMUNICATIONS CORP STREET 2: 725 BROAD ST. CITY: AUGUSTA STATE: GA ZIP: 30903 FORMER NAME: FORMER CONFORMED NAME: RICCARDI NATALE S DATE OF NAME CHANGE: 20000216 4 1 doc1.xml FORM 4 X0306 4 2015-07-09 0 0001572552 Asterias Biotherapeutics, Inc. AST 0001107158 RICCIARDI NATALE S 230 CONSTITUTION DRIVE MENLO PARK CA 94025 1 0 0 0 Stock Option (right to buy) 6.22 2015-07-09 4 A 0 20000 0 A 2015-07-09 2020-03-31 Common Stock 20000 20000 D The stock options were granted on April 1, 2015 to the Reporting Person in connection with the Reporting Person's service on the Issuer's Board of Directors, subject to shareholder approval of an increase in the number of shares issuable under the Company's 2013 Equity Incentive Plan, which occurred on July 9, 2015. The stock options vest over four equal quarterly installments on July 1, 2015, October 1, 2015, January 1, 2016 and April 1, 2016. /s/ Natale S. Ricciardi 2015-07-13