0000919574-13-003753.txt : 20130606
0000919574-13-003753.hdr.sgml : 20130606
20130606191516
ACCESSION NUMBER: 0000919574-13-003753
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130604
FILED AS OF DATE: 20130606
DATE AS OF CHANGE: 20130606
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: BRADSHER NEAL C
CENTRAL INDEX KEY: 0001278388
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12830
FILM NUMBER: 13898608
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BROADWOOD CAPITAL INC
CENTRAL INDEX KEY: 0001278387
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12830
FILM NUMBER: 13898609
BUSINESS ADDRESS:
STREET 1: 724 FIFTH AVENUE
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-508-5735
MAIL ADDRESS:
STREET 1: 724 FIFTH AVENUE
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BROADWOOD PARTNERS LP
CENTRAL INDEX KEY: 0001278386
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12830
FILM NUMBER: 13898610
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
p1387998.xml
BROADWOOD / BIOTIME
X0306
4
2013-06-04
0
0000876343
BIOTIME INC
BTX
0001278386
BROADWOOD PARTNERS LP
C/O BROADWOOD CAPITAL INC.
724 FIFTH AVENUE, 9TH FLOOR
NEW YORK
NY
10019
1
0
1
0
0001278387
BROADWOOD CAPITAL INC
724 FIFTH AVENUE, 9TH FLOOR
NEW YORK
NY
10019
0
0
1
0
0001278388
BRADSHER NEAL C
C/O BROADWOOD CAPITAL INC.
724 FIFTH AVENUE, 9TH FLOOR
NEW YORK
NY
10019
1
0
1
0
Common Stock
2013-06-04
4
P
0
200000
A
9022220
D
Common Stock
2013-06-04
4
P
0
0
0
A
9022220
I
See Footnote
Common Stock
42908
D
Option to Purchase Common Shares
5.00
2013-06-04
4
P
0
50000
A
2018-06-04
Common Shares
50000
50000
D
Option to Purchase Common Shares
4.60
2017-06-30
Common Shares
20000
20000
D
Option to Purchase Common Shares
5.13
2016-06-30
Common Shares
20000
20000
D
Option to Purchase Common Shares
5.45
2015-08-09
Common Shares
20000
20000
D
Option to Purchase Common Shares
2.3
2014-07-01
Common Shares
20000
20000
D
The reported securities were purchased in a private transaction. Under the terms of the private transaction, Broadwood Partners, L.P. purchased 200,000 common shares and 50,000 options to purchase 50,000 common shares. Each common share and one quarter of each option were purchased for an aggregate price of $4.155.
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. Each of Broadwood Capital, Inc. and Neal C. Bradsher disclaim beneficial ownership of the reported securities except to the extent of its or his 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.
These options will vest and become exercisable in four quarterly installments, provided that Neal C. Bradsher remains a director on the last day of each quarter.
These options are exercisable immediately.
Broadwood Partners, L.P., By Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President
2013-06-06
Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President
2013-06-06
/s/ Neal C. Bradsher
2013-06-06