0001493152-19-014321.txt : 20190919 0001493152-19-014321.hdr.sgml : 20190919 20190919170012 ACCESSION NUMBER: 0001493152-19-014321 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190917 FILED AS OF DATE: 20190919 DATE AS OF CHANGE: 20190919 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Culley Brian M CENTRAL INDEX KEY: 0001310683 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12830 FILM NUMBER: 191102180 MAIL ADDRESS: STREET 1: 6725 MESA RIDGE ROAD STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92121 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 2019-09-17 0 0000876343 Lineage Cell Therapeutics, Inc. LCTX 0001310683 Culley Brian M 2173 SALK AVENUE, SUITE 200 CARLSBAD CA 92008 1 1 0 0 President and CEO Common Shares, no par value 2019-09-17 4 M 0 61800 0.00 A 146331 D Common Shares, no par value 2019-09-17 4 F 0 21371 1.00 D 124960 D Restricted Stock Units 0.00 2019-09-17 4 M 0 61800 0.00 D Common Shares 61800 185400 D Shares earned by the Reporting Person as a result of the vesting of a portion of Restricted Stock Units ("RSUs") granted to the Reporting Person on September 17, 2018. In connection with the issuer's distribution of shares of common stock of AgeX, Inc. it owned to all its shareholders, the number of shares subject to these RSUs was adjusted from 200,000 to 247,200 to maintain the intrinsic value of the award. See the issuer's proxy statement as filed with the Securities and Exchange Commission on June 14, 2019 for additional information regarding such distribution. Does not include RSUs that may be settled in shares of the issuer's common stock that have not vested as of the date of this Report or shares that may be acquired upon the exercise of certain stock options. Shares withheld by the issuer to satisfy statutory tax withholding requirements on the vesting of 61,800 RSUs in a transaction exempt under Rule 16(b)-3. No shares were sold in connection with this transaction. The Reporting Person was granted 200,000 RSUs on September 17, 2018 that vested with respect to 25% of the shares subject to the award on September 17, 2019, and the balance vest in 12 equal quarterly installments at the end of each quarter thereafter. See note 1 for certain information regarding an adjustment to the number of shares subject to these RSUs. /s/ Chase C. Leavitt, as Attorney-in-Fact for Brian M. Culley 2019-09-19