Statement of Changes in Beneficial Ownership (4)
June 24 2020 - 4:44PM
Edgar (US Regulatory)
FORM 4
[ ]
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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3235-0287
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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
*
MAIER PAUL V |
2. Issuer Name and Ticker or Trading Symbol
International Stem Cell CORP
[
ISCO.OB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O INTERNATIONAL STEM CELL CORP., 5950 PRIESTLY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/23/2020 |
(Street)
CARLSBAD, CA 92008
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 |
Stock Option (Right to Buy) | $1.08 | 6/23/2020 | | A | | 46428 | | (1) | 6/23/2030 | Common Stock | 46428 | $0 | 46428 | D | |
Stock Option (Right to Buy) | $1.08 | 6/23/2020 | | A | | 30000 | | (2) | 6/23/2030 | Common Stock | 30000 | $0 | 30000 | D | |
Explanation of Responses: |
(1) | Stock option granted as part of compensation for non-employee directors. Options vest in four equal quarterly increments, with first increment vesting on 9/23/2020. |
(2) | Stock option granted as part of compensation for non-employee directors. Options vest fully at the earlier of (i) June 23, 2021 or (ii) the date of the 2021 Annual Meeting of Stockholders, with vesting accelerated for all shares in the event of a change in control. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MAIER PAUL V C/O INTERNATIONAL STEM CELL CORP. 5950 PRIESTLY DRIVE CARLSBAD, CA 92008 | X |
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Signatures
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/s/ Sophia Garnette, Attorney-in-Fact | | 6/24/2020 |
**Signature of Reporting Person | Date |
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