4//SEC Filing
Mulroy Michael H. 4
Accession 0001140361-18-037213
CIK 0001572552other
Filed
Aug 28, 8:00 PM ET
Accepted
Aug 29, 8:02 AM ET
Size
7.9 KB
Accession
0001140361-18-037213
Insider Transaction Report
Form 4
Mulroy Michael H.
DirectorPresident and CEO
Transactions
- Purchase
Common Stock
2018-08-27$1.59/sh+3,141$5,000→ 97,604 total
Holdings
- 800,000
Stock Options
Exercise: $3.70Exp: 2027-06-25→ Common Stock (800,000 underlying) - 200,000
Stock Options
Exercise: $1.95Exp: 2028-03-14→ Common Stock (200,000 underlying)
Footnotes (3)
- [F1]The shares were purchased in multiple trades at prices ranging from $1.575 to $1.60. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares of common stock reported herein were purchased via a 10b5-1 plan established by the Reporting Person on August 16, 2017.
- [F2]Subject to Mr. Mulroy'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. Mulroy's continued employment with the Company, the stock options vest in equal monthly installments over 48 months commencing on July 31, 2017. The stock options are exercisable upon vesting.
Documents
Issuer
Asterias Biotherapeutics, Inc.
CIK 0001572552
Entity typeother
Related Parties
1- filerCIK 0001509725
Filing Metadata
- Form type
- 4
- Filed
- Aug 28, 8:00 PM ET
- Accepted
- Aug 29, 8:02 AM ET
- Size
- 7.9 KB