-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KTivYILv7Bva3P7+MeORxyQEu7LAJS5amkARr5+P9r3JhU4RtuYJ9eha2JwJHdAS +o7v5CWD0MjAf06AATsz6Q== 0000919574-09-010874.txt : 20090515 0000919574-09-010874.hdr.sgml : 20090515 20090515174736 ACCESSION NUMBER: 0000919574-09-010874 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090513 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROADWOOD CAPITAL INC CENTRAL INDEX KEY: 0001278387 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12830 FILM NUMBER: 09834836 BUSINESS ADDRESS: STREET 1: C/O BROADWOOD CAPITALS INC STREET 2: 767 FIFTH AVENUE 5OTH FL CITY: NEW YORK STATE: NY ZIP: 10153 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BRADSHER NEAL C CENTRAL INDEX KEY: 0001278388 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12830 FILM NUMBER: 09834835 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BIOTIME INC CENTRAL INDEX KEY: 0000876343 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 943127919 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1301 HARBOR BAY PARKWAY CITY: ALAMEDA STATE: CA ZIP: 94502 BUSINESS PHONE: 5105213390 MAIL ADDRESS: STREET 1: 1301 HARBOR BAY PARKWAY CITY: ALAMEDA STATE: CA ZIP: 94502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROADWOOD PARTNERS LP CENTRAL INDEX KEY: 0001278386 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12830 FILM NUMBER: 09834837 BUSINESS ADDRESS: STREET 1: C/O BROADWOOD CAPITAL INC. STREET 2: 724 FIFTH AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-508-5735 MAIL ADDRESS: STREET 1: C/O BROADWOOD CAPITAL INC. STREET 2: 724 FIFTH AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 4 1 p996661_ex.xml X0303 4 2009-05-13 0 0000876343 BIOTIME INC BTIM 0001278386 BROADWOOD PARTNERS LP C/O BROADWOOD CAPITAL INC. 724 FIFTH AVENUE, 9TH FLOOR NEW YORK NY 10019 0 0 1 0 0001278387 BROADWOOD CAPITAL INC 724 FIFTH AVENUE 9TH FLOOR NEW YORK NY 10019 0 0 1 0 0001278388 BRADSHER NEAL C 724 FIFTH AVENUE 9TH FLOOR NEW YORK NY 10019 0 0 1 0 Common Stock 2009-05-13 4 J 0 1100000 A 2931153 D Common Stock 2009-05-13 4 J 0 0 0 A 2931153 I Footnote Common Stock 37358 D Option to Purchase Common Shares 2.00 2009-05-13 4 J 0 1100000 A 2009-07-14 Common Shares 1100000 1100000 D Option to Purchase Common Shares 2.00 2009-05-13 4 J 0 0 0 A 2009-07-14 Common Shares 0 1100000 I Footnote Option to Purchase Warrants 2.00 2009-05-13 4 J 0 1100000 A 2009-07-14 Warrants 1100000 1100000 D Option to Purchase Warrants 2.00 2009-05-13 4 J 0 0 0 A 2009-07-14 Warrants 0 1100000 I Footnote Warrants 2.00 2009-05-13 4 J 0 1100000 A 2009-05-13 2010-10-31 Common Shares 1100000 1100000 D Warrants 2.00 2009-05-13 4 J 0 0 0 A 2009-05-13 2010-10-31 Common Shares 0 1100000 I Footnote Warrants 2.0 2005-12-29 2010-10-31 Common Shares 0 1377393 D Warrants 2.0 2005-12-29 2010-10-31 Common Shares 0 1377393 I Footnote Warrants 2.0 2004-01-26 2010-10-31 Common Shares 0 3909 D Warrants 2.00 2004-01-24 2010-10-31 Common Shares 0 1641 D These securities were acquired by Broadwood Partners, L.P. on May 13, 2009 pursuant to a Stock and Warrant Purchase Agreement entered into between the issuer and Broadwood Partners, L.P. and filed by the issuer with the Commission on Form 10-Q on May 15, 2009 (incorporated by reference). This number includes 35,143 securities acquired by Broadwood Partners, L.P. on April 15, 2009 pursuant to the Fifth Amendment of Revolving Line of Credit Agreement entered into between the issuer and Broadwood Partners, L.P. and filed by the issuer with the Commission on Form 8-K on April 17, 2009 (incorporated by reference). These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. These securities are owned by Neal C. Bradsher, who is a Reporting Person. The option grants the right to purchase the securities on or before July 14, 2009. The warrants underlying the option would expire on October 31, 2010. Broadwood Partners, L.P., By: Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President 2009-05-15 Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President 2009-05-15 /s/ Neal C. Bradsher 2009-05-15 -----END PRIVACY-ENHANCED MESSAGE-----