0000919574-19-005442.txt : 20190815 0000919574-19-005442.hdr.sgml : 20190815 20190815190511 ACCESSION NUMBER: 0000919574-19-005442 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190813 FILED AS OF DATE: 20190815 DATE AS OF CHANGE: 20190815 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: 001-12830 FILM NUMBER: 191031318 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: 001-12830 FILM NUMBER: 191031319 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: 001-12830 FILM NUMBER: 191031320 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Lineage Cell Therapeutics, Inc. CENTRAL INDEX KEY: 0000876343 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 943127919 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2173 SALK AVENUE STREET 2: SUITE 200 CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 5105213390 MAIL ADDRESS: STREET 1: 2173 SALK AVENUE STREET 2: SUITE 200 CITY: CARLSBAD STATE: CA ZIP: 92008 FORMER COMPANY: FORMER CONFORMED NAME: BIOTIME INC DATE OF NAME CHANGE: 19930328 4 1 ownership.xml X0306 4 2019-08-13 0 0000876343 Lineage Cell Therapeutics, Inc. LCTX 0001278386 BROADWOOD PARTNERS, L.P. C/O BROADWOOD CAPITAL INC. 724 FIFTH AVENUE, 9TH FLOOR NEW YORK NY 10019 1 0 1 0 0001278387 BROADWOOD CAPITAL INC 724 FIFTH AVENUE, 9TH FLOOR NEW YORK NY 10019 0 0 1 0 0001278388 BRADSHER NEAL C C/O BROADWOOD CAPITAL INC. 724 FIFTH AVENUE, 9TH FLOOR NEW YORK NY 10019 1 0 1 0 Common Shares 2019-08-13 4 P 0 10000 0.9949 A 33990826 D Common Shares 2019-08-13 4 P 0 0 0 A 33990826 I See Footnote Common Shares 2019-08-14 4 P 0 1407 0.9800 A 33992233 D Common Shares 2019-08-14 4 P 0 0 0 A 33992233 I See Footnote Common Shares 2019-08-15 4 P 0 13146 0.9674 A 34005379 D Common Shares 2019-08-15 4 P 0 0 0 A 34005379 I See Footnote Common Shares 62908 D These securities are owned by Broadwood Partners, L.P. The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be 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. This constitutes the weighted average purchase price. The prices range from $0.9857 to $1.00. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. This constitutes the weighted average purchase price. The prices range from $0.9587 to $0.97. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. These securities are owned by Neal C. Bradsher in his personal capacity. On August 9, 2019, the Issuer amended Article I of its Restated Articles of Incorporation to change its name from "BioTime, Inc." to "Lineage Cell Therapeutics, Inc." In connection with the Issuer's name change, effective as of August 12, 2019, the Issuer's common shares began trading on the NYSE American under the ticker symbol "LCTX". Broadwood Partners, L.P., By Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President 2019-08-15 Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President 2019-08-15 /s/ Neal C. Bradsher 2019-08-15