0001209191-14-048769.txt : 20140723 0001209191-14-048769.hdr.sgml : 20140723 20140723215648 ACCESSION NUMBER: 0001209191-14-048769 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: Peabody Robert CENTRAL INDEX KEY: 0001317296 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12830 FILM NUMBER: 14989932 MAIL ADDRESS: STREET 1: ONE INNOVATION DRIVE CITY: WORCHESTER STATE: MA ZIP: 01605 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-07-21 0 0000876343 BIOTIME INC BTX 0001317296 Peabody Robert 1301 HARBOR BAY PARKWAY ALAMEDA CA 94502 0 1 0 0 Sr. VP, COO, and CFO Common Shares, no par value 2014-07-21 4 M 0 475000 0.50 A 505400 D Common Shares, no par value 2014-07-21 4 F 0 89623 2.65 D 415777 D Common Shares, no par value 2014-07-22 4 S 0 100000 2.65 D 315777 D Option to Purchase Common Shares 0.50 2014-07-21 4 M 0 475000 0.00 D 2014-10-09 Common Shares 475000 0 D Option to Purchase Common Shares 4.22 2020-02-19 Common Shares 100000 100000 D Option to Purchase Common Shares 3.51 2021-03-19 Common Shares 100000 100000 D Does not include shares that may be acquired upon the exercise of certain stock options. These shares were surrendered to the company for the exercise of stock 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 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/ Robert W. Peabody 2014-07-23