0001140361-17-014423.txt : 20170403 0001140361-17-014423.hdr.sgml : 20170403 20170403170622 ACCESSION NUMBER: 0001140361-17-014423 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170330 FILED AS OF DATE: 20170403 DATE AS OF CHANGE: 20170403 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Asterias Biotherapeutics, Inc. CENTRAL INDEX KEY: 0001572552 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 461047971 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6300 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555 BUSINESS PHONE: 510-456-3805 MAIL ADDRESS: STREET 1: 6300 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICCIARDI NATALE S CENTRAL INDEX KEY: 0001107158 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36646 FILM NUMBER: 17735092 MAIL ADDRESS: STREET 1: C/O MORRIS COMMUNICATIONS CORP STREET 2: 725 BROAD ST. CITY: AUGUSTA STATE: GA ZIP: 30903 FORMER NAME: FORMER CONFORMED NAME: RICCARDI NATALE S DATE OF NAME CHANGE: 20000216 4 1 form4.xml FORM 4 X0306 4 2017-03-30 0001572552 Asterias Biotherapeutics, Inc. AST 0001107158 RICCIARDI NATALE S 6300 DUMBARTON CIRCLE FREMONT CA 94555 true Stock Options 3.45 2017-03-30 4 A 0 20000 0 A 2017-03-30 2017-03-29 Common Stock 20000 20000 D The stock options vest over four equal quarterly installments beginning on March 31, 2017, contingent upon continued service on the Board of Directors. /s/ Natale S. Ricciardi 2017-04-03