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