0000919574-14-003763.txt : 20140625 0000919574-14-003763.hdr.sgml : 20140625 20140618174222 ACCESSION NUMBER: 0000919574-14-003763 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140409 FILED AS OF DATE: 20140618 DATE AS OF CHANGE: 20140618 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: BRADSHER NEAL C CENTRAL INDEX KEY: 0001278388 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55046 FILM NUMBER: 14928950 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROADWOOD CAPITAL INC CENTRAL INDEX KEY: 0001278387 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55046 FILM NUMBER: 14928951 BUSINESS ADDRESS: STREET 1: 724 FIFTH AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-508-5735 MAIL ADDRESS: STREET 1: 724 FIFTH AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROADWOOD PARTNERS LP CENTRAL INDEX KEY: 0001278386 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55046 FILM NUMBER: 14928952 BUSINESS ADDRESS: STREET 1: C/O BROADWOOD CAPITAL INC. STREET 2: 724 FIFTH AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-508-5735 MAIL ADDRESS: STREET 1: C/O BROADWOOD CAPITAL INC. STREET 2: 724 FIFTH AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 3 1 p1485861.xml OWNERSHIP DOCUMENT X0206 3 2014-04-09 1 0001572552 Asterias Biotherapeutics, Inc. NONE 0001278386 BROADWOOD PARTNERS LP C/O BROADWOOD CAPITAL INC. 724 FIFTH AVENUE, 9TH FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001278387 BROADWOOD CAPITAL INC 724 FIFTH AVENUE, 9TH FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001278388 BRADSHER NEAL C C/O BROADWOOD CAPITAL INC. 724 FIFTH AVENUE, 9TH FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section Richard LeBuhn, Senior Vice President of Broadwood Capital, Inc., is a Director of the Issuer. Broadwood Partners, L.P., By: Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President 2014-06-18 Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President, 2014-06-18 Neal C. Bradsher, /s/ Neal C. Bradsher 2014-06-18