0000919574-14-003765.txt : 20140625
0000919574-14-003765.hdr.sgml : 20140625
20140618174720
ACCESSION NUMBER: 0000919574-14-003765
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140616
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55046
FILM NUMBER: 14928964
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55046
FILM NUMBER: 14928965
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55046
FILM NUMBER: 14928966
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
4
1
p1485837.xml
OWNERSHIP DOCUMENT
X0306
4
2014-06-16
0
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.
Warrant to Purchase Series B Common Stock
2.34
2014-06-16
4
J
0
1000000
A
2015-06-16
Series B Common Stock
1000000
1000000
D
Warrant to Purchase Series B Common Stock
2.34
2014-06-16
4
J
0
0
A
2015-06-16
Series B Common Stock
0
1000000
I
See footnote
These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.
The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
These warrants are currently exercisable with the underlying common shares issuable 61 days following the exercise date.
On June 16, 2014, Asterias Biotherapeutics, Inc. (the "Issuer") sold common shares of BioTime, Inc. to Broadwood Partners, L.P. pursuant to a stock purchase agreement. As part of that transaction, these warrants were granted to Broadwood Partners, L.P. under a warrant agreement between the Issuer and Broadwood Partners, L.P.
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