0001140361-18-015535.txt : 20180328 0001140361-18-015535.hdr.sgml : 20180328 20180328170034 ACCESSION NUMBER: 0001140361-18-015535 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180326 FILED AS OF DATE: 20180328 DATE AS OF CHANGE: 20180328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mulroy Michael H. CENTRAL INDEX KEY: 0001509725 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36646 FILM NUMBER: 18719555 MAIL ADDRESS: STREET 1: 1300 N. KELLOGG DRIVE, SUITE D CITY: ANAHEIM STATE: CA ZIP: 92807 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 2018-03-26 0001572552 Asterias Biotherapeutics, Inc. AST 0001509725 Mulroy Michael H. C/O ASTERIAS BIOTHERAPEUTICS, INC. 6300 DUMBARTON CIRCLE FREMONT CA 94555 true true President and CEO Common Stock 2018-03-26 4 P 0 2839 1.76 A 81541 D Stock Options 1.95 2028-03-14 Common Stock 200000 200000 D Stock Options 3.7 2027-06-25 Common Stock 800000 800000 D The shares were purchased in multiple trades at prices ranging from $1.75 to $1.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock. Subject to Mr. Mulroy's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was March 14, 2018. The stock options are exercisable upon vesting. Subject to Mr. Mulroy's continued employment with the Company, the stock options vest in equal monthly installments over 48 months commencing on July 31, 2017. The stock options are exercisable upon vesting. /s/ Michael H. Mulroy 2018-03-28