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