4//SEC Filing
Chavez Ryan Daniel 4
Accession 0001140361-19-004430
CIK 0001572552other
Filed
Mar 4, 7:00 PM ET
Accepted
Mar 5, 4:30 PM ET
Size
9.4 KB
Accession
0001140361-19-004430
Insider Transaction Report
Form 4
Chavez Ryan Daniel
Exec. VP of Fin & Gen. Counsel
Transactions
- Award
Common Stock
2019-03-01+145,263→ 299,980 total - Tax Payment
Common Stock
2019-03-01$0.95/sh−44,471$42,247→ 255,509 total
Holdings
- 150,000
Stock Options
Exercise: $1.95Exp: 2028-03-14→ Common Stock (150,000 underlying) - 380,000
Stock Option
Exercise: $2.91Exp: 2026-07-17→ Common Stock (380,000 underlying)
Footnotes (4)
- [F1]The shares reported herein were awarded to the Reporting Person by the Issuer's Board of Directors upon recommendation by the Compensation Committee, in connection with the Company's 2018 bonus payment to the Reporting Person, in lieu of cash payment to the Reporting Person.
- [F2]Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the grant of shares reported herein.
- [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 March 14, 2018. The stock options are exercisable upon vesting.
- [F4]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 4, 7:00 PM ET
- Accepted
- Mar 5, 4:30 PM ET
- Size
- 9.4 KB