FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ADVANCED CELL TECHNOLOGY, INC. [ ACTC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/07/2011 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/07/2011 | S | 250,000 | D | $0.1948 | 17,865,964(1)(2) | D | |||
Common Stock | 02/09/2011 | S | 250,000 | D | $0.1889 | 17,615,964 | D | |||
Common Stock | 02/28/2011 | S | 390,993 | D | $0.1741 | 17,224,971 | D | |||
Common Stock | 04/26/2011 | S | 733,102 | D | $0.1775 | 16,491,869 | D | |||
Common Stock | 05/04/2011 | S | 266,898 | D | $0.1946 | 16,224,971 | D | |||
Common Stock | 08/09/2011 | S | 667,000 | D | $0.1654 | 15,557,971 | D | |||
Common Stock | 08/10/2011 | S | 135,100 | D | $0.1624 | 15,422,871 | D | |||
Common Stock | 08/11/2011 | S | 707,913 | D | $0.1638 | 14,714,958 | D | |||
Common Stock | 08/12/2011 | S | 539,987 | D | $0.1698 | 14,174,971 | D | |||
Common Stock | 10/12/2011 | S | 491,650 | D | $0.1452 | 13,683,321 | D | |||
Common Stock | 10/13/2011 | S | 787,429 | D | $0.1418 | 12,895,892 | D | |||
Common Stock | 10/14/2011 | S | 720,920 | D | $0.1448 | 12,174,972 | D | |||
Common Stock | 01/23/2012 | S | 625,000 | D | $0.1752 | 11,549,972 | D | |||
Common Stock | 05/03/2012 | S | 199,910 | D | $0.0833 | 11,350,062 | D | |||
Common Stock | 05/07/2012 | S | 122,000 | D | $0.0805 | 11,228,062 | D | |||
Common Stock | 05/11/2012 | S | 290,000 | D | $0.0717 | 10,938,062 | D | |||
Common Stock | 05/14/2012 | S | 388,090 | D | $0.0685 | 10,549,972 | D | |||
Common Stock | 05/24/2012 | S | 95,471 | D | $0.0803 | 10,454,501 | D | |||
Common Stock | 05/25/2012 | S | 80,000 | D | $0.0805 | 10,374,501 | D | |||
Common Stock | 05/29/2012 | S | 24,500 | D | $0.08 | 10,350,001 | D | |||
Common Stock | 06/15/2012 | S | 350,000 | D | $0.0725 | 10,000,001 | D | |||
Common Stock | 08/27/2012 | S | 1,000,000 | D | $0.0784 | 9,000,001 | D | |||
Common Stock | 09/05/2012 | S | 608,556 | D | $0.0822 | 8,391,445 | D | |||
Common Stock | 09/06/2012 | S | 391,444 | D | $0.082 | 8,000,001 | D | |||
Common Stock | 10/22/2012 | S | 350,000 | D | $0.0715 | 7,650,001 | D | |||
Common Stock | 10/23/2012 | S | 650,000 | D | $0.0701 | 7,000,001 | D | |||
Common Stock | 01/10/2013 | S | 1,000,000 | D | $0.0792 | 6,000,001(3) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 |
Explanation of Responses: |
1. This Form 4 reports sales of shares of common stock transacted by the reporting person that were not timely reported by the reporting person. The reporting person reported intervening transactions of common stock on Form 4s that are not reported on this Form 4. In accordance with guidance, column no. 5 of this report (Amount of Securities Beneficially Owned Following Reported Transaction(s)) should reconcile with the reporting person's most recently filed Section 16 report, rather than reflect the number of shares actually owned by the reporting person following each transaction. |
2. However, due to the inadvertant misreporting of the number of shares beneficially owned by the reporting person in a report filed on May 24, 2011 (which error in turn carried through to each subsequent Form 4 filed by the reporting person), the number of shares beneficially owned by the reporting person as reflected in the first row of Table I of this report is increased by 3,853,563 compared to the reporting person's most recently filed Form 4 to adjust for the inadvertant misreporting of the amount of shares beneficially held in past Form 4s. |
3. As of January 10, 2013 and the date of filing of this Form 4, the reporting person owns 6,000,001 shares of the issuer's common stock. As of the date of filing of this Form 4, 4,000,000 of such shares of common stock held by the reporting person remain subject to a right of repurchase as described in the reporting person's Form 4 filed on August 25, 2011. |
/s/ Gary Rabin | 04/15/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |