4//SEC Filing
Chavez Ryan Daniel 4
Accession 0001140361-18-014132
CIK 0001572552other
Filed
Mar 18, 8:00 PM ET
Accepted
Mar 19, 6:52 PM ET
Size
11.3 KB
Accession
0001140361-18-014132
Insider Transaction Report
Form 4
Chavez Ryan Daniel
Exec. VP of Fin & Gen. Counsel
Transactions
- Award
Common Stock
2018-03-15+68,708→ 203,273 total - Tax Payment
Common Stock
2018-03-15$1.95/sh−21,633$42,184→ 181,640 total - Award
Common Stock (restricted stock units)
2018-03-15+50,000→ 134,565 total - Award
Stock Options
2018-03-15+150,000→ 150,000 totalExercise: $1.95Exp: 2028-03-14→ Common Stock (150,000 underlying)
Holdings
- 380,000
Stock Option
Exercise: $2.91Exp: 2026-07-17→ Common Stock (380,000 underlying)
Footnotes (3)
- [F1]Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the grant of 68,708 shares of restricted stock, which is reported herewith on this Form 4.
- [F2]Subject to Mr. Chavez's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was March 14, 2018. The stock options are exercisable upon vesting.
- [F3]Subject to Mr. Chavez's continued employment with the Company, 25% of the granted stock options vest on the first anniversary of the grant date, and the remaining 75% of the stock options in equal monthly installments over 36 months commencing after the first anniversary of the grant date. The grant date of these options was July 18, 2016. The stock options are exercisable upon vesting.
Documents
Issuer
Asterias Biotherapeutics, Inc.
CIK 0001572552
Entity typeother
Related Parties
1- filerCIK 0001680015
Filing Metadata
- Form type
- 4
- Filed
- Mar 18, 8:00 PM ET
- Accepted
- Mar 19, 6:52 PM ET
- Size
- 11.3 KB