0001532199-14-000006.txt : 20140908 0001532199-14-000006.hdr.sgml : 20140908 20140908134248 ACCESSION NUMBER: 0001532199-14-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140904 FILED AS OF DATE: 20140908 DATE AS OF CHANGE: 20140908 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: 230 CONSTITUTION DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 510-521-3390 MAIL ADDRESS: STREET 1: 230 CONSTITUTION DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Scarsdale Equities LLC CENTRAL INDEX KEY: 0001469954 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55046 FILM NUMBER: 141090257 BUSINESS ADDRESS: STREET 1: 30 ROCKEFELLER PLAZA STREET 2: SUITE 4250 CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 212-433-1375 MAIL ADDRESS: STREET 1: 30 ROCKEFELLER PLAZA STREET 2: SUITE 4250 CITY: NEW YORK STATE: NY ZIP: 10112 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-09-04 0 0001572552 Asterias Biotherapeutics, Inc. ASTY 0001469954 Scarsdale Equities LLC 10 ROCKEFELLER PLAZA SUITE 720 NEW YORK NY 10020 0 0 1 0 Series A Common Stock, $0.0001 par value 2014-09-04 4 P 0 70000 3.9971 A 776000 I By managed accounts Series A Common Stock, $0.0001 par value 2014-09-05 4 P 0 30000 5.4782 A 806000 I By managed accounts These securities are held by managed accounts, over which Scarsdale Equities LLC holds discretionary trading authority and, as a result, may be deemed to be a beneficial owner of these securities. Scarsdale Equities LLC disclaims beneficial ownership of these securities except to the extent of its pecuniary interest thereof. Scarsdale Equities LLC, By:/s/ Wade Black, Chief Operating Officer 2014-09-08