0001209191-14-048767.txt : 20140723 0001209191-14-048767.hdr.sgml : 20140723 20140723215418 ACCESSION NUMBER: 0001209191-14-048767 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140721 FILED AS OF DATE: 20140723 DATE AS OF CHANGE: 20140723 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BIOTIME 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: 1301 HARBOR BAY PARKWAY CITY: ALAMEDA STATE: CA ZIP: 94502 BUSINESS PHONE: 5105213390 MAIL ADDRESS: STREET 1: 1301 HARBOR BAY PARKWAY CITY: ALAMEDA STATE: CA ZIP: 94502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WEST MICHAEL D CENTRAL INDEX KEY: 0001202529 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12830 FILM NUMBER: 14989921 MAIL ADDRESS: STREET 1: 1301 HARBOR BAY PARKWAY CITY: ALAMEDA STATE: CA ZIP: 94502 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-07-21 0 0000876343 BIOTIME INC BTX 0001202529 WEST MICHAEL D 1301 HARBOR BAY PARKWAY ALAMEDA CA 94502 1 1 0 0 Chief Executive Officer Common Shares, no par value 2014-07-21 4 M 0 1470400 0.50 A 1580000 D Common Shares, no par value 2014-07-21 4 F 0 434013 2.65 D 1145987 D Common Shares, no par value 2014-07-22 4 S 0 270000 2.65 D 875987 D Option to Purchase Common Shares 0.50 2014-07-21 4 M 0 1470400 0.00 D 2014-10-09 Common Shares 1470400 0 D Option to Purchase Common Shares 4.22 2020-02-19 Common Shares 200000 200000 D Option to Purchase Common Shares 3.51 2021-03-19 Common Shares 200000 200000 D Does not include shares that may be acquired upon the exercise of certain stock options. These shares were surrendered to the company for two purposes: 1) as consideration for the exercise of options on July 21, 2014, and 2) as consideration to satisfy a portion of the income tax liability arising from the exercise of options on July 21, 2014. The options exercised were due to expire on October 9, 2014. These shares were sold in a privately negotiated transaction to a single purchaser to obtain funds to pay additional taxes arising from the exercise of options on July 21, 2014. 1/60th of the number of options became exercisable at the end of each full month of employment after October 10, 2007. 1/48th of the number of options will vest and become exercisable at the end of each full month of employment after January 1, 2013. 1/48th of the number of options will vest and become exercisable at the end of each full month of employment after March 20, 2014. /s/ Michael D. West 2014-07-23