0000919574-16-012965.txt : 20160513 0000919574-16-012965.hdr.sgml : 20160513 20160513173314 ACCESSION NUMBER: 0000919574-16-012965 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160513 FILED AS OF DATE: 20160513 DATE AS OF CHANGE: 20160513 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 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: 001-36646 FILM NUMBER: 161649746 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: BRADSHER NEAL C CENTRAL INDEX KEY: 0001278388 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36646 FILM NUMBER: 161649747 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: 001-36646 FILM NUMBER: 161649748 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 p7146678.xml OWNERSHIP DOCUMENT X0306 4 2016-05-13 0 0001572552 Asterias Biotherapeutics, Inc. AST 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 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 0001278387 BROADWOOD CAPITAL INC 724 FIFTH AVENUE, 9TH FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section Series A Common Stock 2016-05-13 4 P 0 2058823 A 3699848 D Series A Common Stock 2016-05-13 4 P 0 0 A 3699848 I Footnote Warrant to Purchase Series A Common Stock 4.37 2016-05-13 4 P 0 1029412 A 2021-05-13 Series A Common Stock 1029412 1029412 D Warrant to Purchase Series A Common Stock 4.37 2016-05-13 4 P 0 0 A 2021-05-13 Series A Common Stock 0 1029412 I Footnote Warrant to Purchase Series A Common Stock 5.00 2016-09-30 Series A Common Stock 328205 328205 D Warrant to Purchase Series A Common Stock 5.00 2016-09-30 Series A Common Stock 0 328205 I Footnote A portion of the reported securities are included within 2,058,823 AST Units purchased by Broadwood Partners, L.P. for $3.40 per AST Unit. Each AST Unit consists of one share of Series A common stock and a half warrant for a total of 2,058,823 common shares and 1,029,412 warrants to purchase 1,029,412 common shares. 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 delivery of notice of exercise to the Issuer. These warrants are currently exercisable. 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 2016-05-13 Neal C. Bradsher, /s/ Neal C. Bradsher 2016-05-13 Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President, 2016-05-13