0001140361-17-036580.txt : 20170927
0001140361-17-036580.hdr.sgml : 20170927
20170927140432
ACCESSION NUMBER: 0001140361-17-036580
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170925
FILED AS OF DATE: 20170927
DATE AS OF CHANGE: 20170927
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mulroy Michael H.
CENTRAL INDEX KEY: 0001509725
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36646
FILM NUMBER: 171103884
MAIL ADDRESS:
STREET 1: 1300 N. KELLOGG DRIVE, SUITE D
CITY: ANAHEIM
STATE: CA
ZIP: 92807
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
4
1
form4.xml
FORM 4
X0306
4
2017-09-25
0001572552
Asterias Biotherapeutics, Inc.
AST
0001509725
Mulroy Michael H.
C/O ASTERIAS BIOTHERAPEUTICS, INC.
6300 DUMBARTON CIRCLE
FREMONT
CA
94555
true
true
President and CEO
Common Stock
2017-09-25
4
P
0
1537
3.251
A
1537
D
Stock Options (right to buy)
3.7
2027-06-26
Common Stock
800000
800000
D
The shares were purchased in multiple trades at prices ranging from $3.175 to $3.35. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017, under which the Reporting Person is dedicating approximately 25 percent of his monthly after-tax salary to the purchase of Asterias common stock.
Subject to Mr. Mulroy's continued employment with the Company, the stock options vest in equal monthly installments over 48 months commencing on July 31, 2017. The stock options are exercisable upon vesting.
/s/ Michael H. Mulroy
2017-09-26