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