0001140361-18-029807.txt : 20180625 0001140361-18-029807.hdr.sgml : 20180625 20180625164716 ACCESSION NUMBER: 0001140361-18-029807 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180621 FILED AS OF DATE: 20180625 DATE AS OF CHANGE: 20180625 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LeBuhn Richard T. CENTRAL INDEX KEY: 0001428664 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36646 FILM NUMBER: 18917479 MAIL ADDRESS: STREET 1: 25541 COMMERCENTRE DR. CITY: LAKE FOREST STATE: CA ZIP: 92630-8870 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 form4.xml FORM 4 X0306 4 2018-06-21 0001572552 Asterias Biotherapeutics, Inc. AST 0001428664 LeBuhn Richard T. 6300 DUMBARTON CIRCLE FREMONT CA 94555 true Series A Common Stock 25000 D Stock Options 1.75 2018-06-21 4 A 0 20000 0 A 2028-06-21 Common Stock 20000 20000 D Stock Option 3.45 2017-03-31 2027-03-29 Common Stock 20000 20000 D Warrants 4.37 2016-05-13 2021-05-13 Common Stock 7500 7500 D Stock Options 3.64 2016-03-31 2026-02-28 Common Stock 20000 20000 D Stock Option 6.22 2015-07-09 2020-03-31 Common Stock 20000 20000 D Stock Option 2.34 2014-08-19 2019-03-31 Common Stock 20000 20000 D The stock options vest equally over the next four quarters, beginning on the June 30, 2018 contingent upon continued service on the Board of Directors. /s/ Richard T. LeBuhn 2018-06-25