BIOTIME INC 4

4 · BIOTIME INC · Filed Jul 5, 2017

Form 4

Period: 2017-07-01

10% Owner

Transactions

Award
OPTION TO PURCHASE COMMON SHARES
2017-07-01+20,000→ 20,000 total
Exercise: $3.15Exp: 2022-06-30→ COMMON SHARES (20,000 underlying)

Holdings

OPTION TO PURCHASE COMMON SHARES
Exercise: $4.13Exp: 2018-06-30→ COMMON SHARES (20,000 underlying)
20,000
OPTION TO PURCHASE COMMON SHARES
Exercise: $3.57Exp: 2020-06-30→ COMMON SHARES (20,000 underlying)
20,000
OPTION TO PURCHASE COMMON SHARES
(indirect: See Footnote)
Exercise: $5.00Exp: 2018-06-04→ COMMON SHARES (50,000 underlying)
50,000
OPTION TO PURCHASE COMMON SHARES
Exercise: $2.72Exp: 2021-06-30→ COMMON SHARES (20,000 underlying)
20,000
OPTION TO PURCHASE COMMON SHARES
Exercise: $3.11Exp: 2019-06-30→ COMMON SHARES (20,000 underlying)
20,000

Footnotes (5)

[F1]These securities are directly owned by Neal C. Bradsher.
[F2]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 disclaims 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 Broadwood Capital, Inc. or Neal C. Bradsher 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.
[F3]These options will vest and become exercisable in four quarterly installments on September 30, 2017, December 31, 2017, March 31, 2018, and June 30, 2018, provided that Neal C. Bradsher remains a director on the last day of each quarter.
[F4]These options are currently exercisable.
[F5]The options were granted to Neal Bradsher by the issuer on July 1, 2017 as director compensation pursuant to the issuer's 2012 Equity Incentive Plan.

Documents

1 file