0001209191-19-019553.txt : 20190314 0001209191-19-019553.hdr.sgml : 20190314 20190314185202 ACCESSION NUMBER: 0001209191-19-019553 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190308 FILED AS OF DATE: 20190314 DATE AS OF CHANGE: 20190314 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAILEY DON M CENTRAL INDEX KEY: 0001223697 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12830 FILM NUMBER: 19682438 MAIL ADDRESS: STREET 1: 1300 N. KELLOGG DRIVE STREET 2: SUITE D CITY: ANAHEIM STATE: CA ZIP: 92607 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: 1010 ATLANTIC AVENUE STREET 2: SUITE 102 CITY: ALAMEDA STATE: CA ZIP: 94501 BUSINESS PHONE: 5105213390 MAIL ADDRESS: STREET 1: 1010 ATLANTIC AVENUE STREET 2: SUITE 102 CITY: ALAMEDA STATE: CA ZIP: 94501 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2019-03-08 0 0000876343 BIOTIME INC BTX 0001223697 BAILEY DON M C/O BIOTIME, INC. 1010 ATLANTIC AVENUE, SUITE 102 ALAMEDA CA 94501 1 0 0 0 Common Shares, no par value 62647 D Warrants 6.15 2019-03-08 2021-05-13 Common Shares 31323 D Acquired pursuant to that certain Agreement and Plan of Merger, dated November 7, 2018 (the "Merger Agreement"), by and between the Issuer, Patrick Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer, and Asterias Biotherapeutics, Inc., a Delaware corporation ("Asterias"). Pursuant to the Merger Agreement, each share of Series A common stock of Asterias was converted into the right to receive 0.71 common shares of the Issuer. Represents the number of shares a holder can receive upon exercise of the outstanding warrant, as adjusted in accordance with the provisions of the warrant, in connection with the Merger Agreement. /s/Don M. Bailey 2019-03-14