0001193125-12-014286.txt : 20120118 0001193125-12-014286.hdr.sgml : 20120118 20120117194254 ACCESSION NUMBER: 0001193125-12-014286 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120116 ITEM INFORMATION: Unregistered Sales of Equity Securities FILED AS OF DATE: 20120118 DATE AS OF CHANGE: 20120117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: International Stem Cell CORP CENTRAL INDEX KEY: 0001355790 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 204494098 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-51891 FILM NUMBER: 12530712 BUSINESS ADDRESS: STREET 1: 2595 JASON COURT CITY: OCEANSIDE STATE: CA ZIP: 92056 BUSINESS PHONE: 760-940-6383 MAIL ADDRESS: STREET 1: 2595 JASON COURT CITY: OCEANSIDE STATE: CA ZIP: 92056 FORMER COMPANY: FORMER CONFORMED NAME: BTHC III INC. DATE OF NAME CHANGE: 20060310 8-K 1 d284650d8k.htm FORM 8-K Form 8-K

 

 

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(D) OF THE

SECURITIES EXCHANGE ACT OF 1934

Date of report (Date of earliest event reported): January 16, 2012

 

 

INTERNATIONAL STEM CELL CORPORATION

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   000-51891   20-4494098

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification Number)

5950 Priestly Drive, Carlsbad, CA 92008

(Address of principal executive offices, including zip code)

(760) 940-6383

(Registrant’s telephone number, including area code)

(Former name or former address, if changed since last report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CAR 240.13e-4(c))

 

 

 

ITEM 3.02 Unregistered Sales of Equity Securities

From November 11, 2011 through January 16, 2012, the Company has issued an additional one million shares of common stock in transactions that were not registered under the Securities Act of 1933. The Company issued a total of one million shares of common stock to Aspire Capital Fund, LLC for a total consideration of $416,010. The shares of common stock issued were offered and sold in private placement transactions made in reliance upon exemptions from registration pursuant to Section 4(2) of the Securities Act of 1933.

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

    International Stem Cell Corporation
  By:  

/s/ Linh Nguyen

    Linh Nguyen
    Chief Financial Officer
Dated: January 17, 2012