Current Report Filing (8-k)
March 29 2021 - 5:16PM
Edgar (US Regulatory)
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2021-03-29
2021-03-29
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
DC 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the
Securities
Exchange Act of 1934
Date
of Report (Date of earliest event reported): March 29, 2021
Lineage
Cell Therapeutics, Inc.
(Exact
name of registrant as specified in charter)
California
|
|
001-12830
|
|
94-3127919
|
(State
or other jurisdiction
of
incorporation)
|
|
(Commission
File
Number)
|
|
(IRS
Employer
Identification
No.)
|
2173
Salk Avenue, Suite 200
Carlsbad,
California
|
|
92008
|
(Address
of principal executive offices)
|
|
(Zip
Code)
|
(442)
287-8990
Registrant’s
telephone number, including area code
(Former
name or former address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General Instruction A.2. below):
☐
|
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
|
|
☐
|
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
|
|
☐
|
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|
|
|
☐
|
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
|
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
|
Trading
Symbol(s)
|
|
Name
of each exchange on which registered
|
Common
shares, no par value
|
|
LCTX
|
|
NYSE
American
|
Indicate
by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act
of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ☐
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item
5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements
of Certain Officers.
In
connection with the previously announced resignation of Chase C. Leavitt, on March 29, 2021, Mr. Leavitt and Lineage Cell Therapeutics,
Inc. (“Lineage”) entered into a Separation and Consulting Agreement (“Consulting Agreement”)
pursuant to which Mr. Leavitt has agreed to assist Lineage with transition matters and such other matters as Lineage and Mr. Leavitt
may agree to from time to time. The equity awards held by Mr. Leavitt as of April 7, 2021 will continue to vest during the term
of the Consulting Agreement. Mr. Leavitt may also be compensated at a market hourly rate for certain services under the Consulting
Agreement.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
|
Lineage
Cell Therapeutics, Inc.
|
|
|
|
Date:
March 29, 2021
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By:
|
/s/
Brian M. Culley
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|
Name:
|
Brian
M. Culley
|
|
Title:
|
Chief
Executive Officer
|
Lineage Cell Therapeutics (AMEX:LCTX)
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