0001140361-18-029801.txt : 20180625
0001140361-18-029801.hdr.sgml : 20180625
20180625164002
ACCESSION NUMBER: 0001140361-18-029801
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180621
FILED AS OF DATE: 20180625
DATE AS OF CHANGE: 20180625
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BAILEY DON M
CENTRAL INDEX KEY: 0001223697
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36646
FILM NUMBER: 18917418
MAIL ADDRESS:
STREET 1: 1300 N. KELLOGG DRIVE
STREET 2: SUITE D
CITY: ANAHEIM
STATE: CA
ZIP: 92607
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: 6300 DUMBARTON CIRCLE
CITY: FREMONT
STATE: CA
ZIP: 94555
BUSINESS PHONE: 510-456-3805
MAIL ADDRESS:
STREET 1: 6300 DUMBARTON CIRCLE
CITY: FREMONT
STATE: CA
ZIP: 94555
4
1
form4.xml
FORM 4
X0306
4
2018-06-21
0001572552
Asterias Biotherapeutics, Inc.
AST
0001223697
BAILEY DON M
6300 DUMBARTON CIRCLE
FREMONT
CA
94555
true
Series A Common Stock
88235
D
Stock Options
1.75
2018-06-21
4
A
0
75000
0
A
2028-06-21
Common Stock
75000
75000
D
Warrants
4.37
2016-05-13
2021-05-13
Common Stock
44117
44117
D
Stock Options
3.45
2017-03-31
2027-03-29
Common Stock
75000
75000
D
Stock Options
3.64
2016-03-31
2026-02-28
Common Stock
75000
75000
D
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.
/s/ Don Bailey
2018-06-25