0000919574-17-007346.txt : 20171018
0000919574-17-007346.hdr.sgml : 20171018
20171018173431
ACCESSION NUMBER: 0000919574-17-007346
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171016
FILED AS OF DATE: 20171018
DATE AS OF CHANGE: 20171018
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: 171143264
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BROADWOOD PARTNERS, L.P.
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: 171143266
BUSINESS ADDRESS:
STREET 1: 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: BROADWOOD CAPITAL INC.
STREET 2: 724 FIFTH AVENUE, 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER NAME:
FORMER CONFORMED NAME: BROADWOOD PARTNERS LP
DATE OF NAME CHANGE: 20040202
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: 171143265
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
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
p7684593.xml
OWNERSHIP DOCUMENT
X0306
4
2017-10-16
0
0001572552
Asterias Biotherapeutics, Inc.
NONE
0001278386
BROADWOOD PARTNERS, L.P.
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
Series A Common Stock
2017-10-16
4
P
0
1592308
2.60
A
5292156
D
Series A Common Stock
2017-10-16
4
P
0
0
0
A
5292156
I
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.
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
2017-10-18
Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President,
2017-10-18
Neal C. Bradsher, /s/ Neal C. Bradsher
2017-10-18