Amended Statement of Changes in Beneficial Ownership (4/a)
February 16 2021 - 5:38PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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BRADSHER NEAL C |
2. Issuer Name and Ticker or Trading Symbol
Lineage Cell Therapeutics, Inc.
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LCTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O BROADWOOD CAPITAL INC., 142 WEST 57TH STREET, 11TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/1/2016 |
(Street)
NEW YORK, NY 10019
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
7/2/2020 |
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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
OPTION TO PURCHASE COMMON SHARES | $1.67 (1) | | | | | | | (2) | 6/30/2023 | COMMON SHARES | 49440 | | 49440 | D | |
OPTION TO PURCHASE COMMON SHARES | $2.55 (1) | | | | | | | (2) | 6/30/2022 | COMMON SHARES | 24720 | | 24720 | D | |
OPTION TO PURCHASE COMMON SHARES | $2.20 (1) | | | | | | | (2) | 6/30/2021 | COMMON SHARES | 24720 | | 24720 | D | |
Explanation of Responses: |
(1) | This amendment to the Form 4 filed by Neal C. Bradsher on July 2, 2020 (the "July 2020 Form 4") is being made solely to correct the exercise price of certain options to purchase common shares of Lineage Cell Therapeutics, Inc. (the "Issuer") currently held by Mr. Bradsher (collectively, the "Stock Options"). In particular, the respective exercise prices of these reported Stock Options were adjusted following the distribution of shares of common stock of AgeX Therapeutics, Inc. to the Issuer's shareholders on November 28, 2018 (the "AgeX Distribution"). The number of Stock Options was properly adjusted at the time of the AgeX Distribution; however, the exercise prices of these reported Stock Options were not properly adjusted. For the avoidance of doubt, none of the Stock Options reported in this Form 4 amendment or the July 2020 Form 4 filing have been exercised. |
(2) | These options are currently exercisable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BRADSHER NEAL C C/O BROADWOOD CAPITAL INC. 142 WEST 57TH STREET, 11TH FLOOR NEW YORK, NY 10019 | X | X |
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Signatures
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/s/ Neal C. Bradsher | | 2/16/2021 |
**Signature of Reporting Person | Date |
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