X0203 0001143313 NYSE AMERICAN LLC 1572552 Asterias Biotherapeutics, Inc. 001-36646

230 Constitution Drive Menlo Park CA CALIFORNIA 94025

(650) 433-2900 Warrants to purchase Series A Common Stock $0.0001 par value per share (Expiring September 29, 2017) 17 CFR 240.12d2-2(a)(3) Benjamin Sawyer Manager 2017-09-27