0000919574-21-004286.txt : 20210625 0000919574-21-004286.hdr.sgml : 20210625 20210625154603 ACCESSION NUMBER: 0000919574-21-004286 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210625 FILED AS OF DATE: 20210625 DATE AS OF CHANGE: 20210625 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: 211047567 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 2021-06-25 0 0000876343 Lineage Cell Therapeutics, Inc. LCTX 0001278388 BRADSHER NEAL C C/O BROADWOOD CAPITAL INC. 142 WEST 57TH STREET, 11TH FLOOR NEW YORK NY 10019 1 0 1 0 Common Shares 2021-06-25 4 M 0 24720 2.20 A 87628 D Common Shares 34005379 I See Footnote OPTION TO PURCHASE COMMON SHARES 2.20 2021-06-25 4 M 0 24720 0 D 2021-06-30 COMMON SHARES 24720 0 D OPTION TO PURCHASE COMMON SHARES 0.8263 2030-07-01 COMMON SHARES 40000 40000 D OPTION TO PURCHASE COMMON SHARES 1.03 2029-06-30 COMMON SHARES 40000 40000 D OPTION TO PURCHASE COMMON SHARES 1.67 2023-06-30 COMMON SHARES 49440 49440 D OPTION TO PURCHASE COMMON SHARES 2.55 2022-06-30 COMMON SHARES 24720 24720 D These securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher (the "Reporting Person"), as President of Broadwood Capital. Each of Broadwood Capital and the Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that Broadwood Capital or the 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. These options are currently exercisable. /s/ Neal C. Bradsher 2021-06-25