Initial Statement of Beneficial Ownership (3)
January 22 2021 - 4:31PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Hernandez Alexandra |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/20/2021
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3. Issuer Name and Ticker or Trading Symbol
Lineage Cell Therapeutics, Inc. [LCTX]
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(Last)
(First)
(Middle)
C/O LINEAGE CELL THERAPEUTICS, INC., 2173 SALK AVENUE, SUITE 200 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Sr Director Finance/Controller / |
(Street)
CARLSBAD, CA 92008
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | (1) | 3/17/2030 | Common Shares | 45200 | $0.6919 | D | |
Employee Stock Option (Right to Buy) | (2) | 9/1/2029 | Common Shares | 100000 | $0.9000 | D | |
Explanation of Responses: |
(1) | One quarter of the options will vest on March 17, 2021 and the remaining will vest in 36 equal monthly installments thereafter upon the completion of each month of continuous employment |
(2) | One quarter of the options vested on September 1, 2020 and the remaining will vest in 36 equal monthly installments thereafter upon the completion of each month of continuous employment |
Remarks: Exhibit 24.1 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hernandez Alexandra C/O LINEAGE CELL THERAPEUTICS, INC. 2173 SALK AVENUE, SUITE 200 CARLSBAD, CA 92008 |
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| Sr Director Finance/Controller |
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Signatures
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/s/ Chase C. Leavitt, as Attorney-in Fact | | 1/22/2021 |
**Signature of Reporting Person | Date |
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