Hogge Gary S. 4

Accession 0001493152-21-032897

CIK 0000876343other

View on SEC.gov Company Profile

Filed

Dec 29, 7:00 PM ET

Accepted

Dec 30, 5:20 PM ET

Size

273.0 KB

Accession

0001493152-21-032897

Insider Transaction Report

Form 4

Period: 2021-12-28

Lineage Cell Therapeutics, Inc.LCTX

Hogge Gary S.

SVP,Clinical & Medical Affairs

Transactions

Exercise/Conversion
Common Shares, no par value
2021-12-28$1.14/sh+79,689$90,845→ 530,033 total
Exercise/Conversion
Employee Stock Option (right to buy)
2021-12-28−236,899→ 10,301 total
Exercise: $2.11Exp: 2028-02-11→ Common Shares (236,899 underlying)
Exercise/Conversion
Common Shares, no par value
2021-12-28$2.11/sh+236,899$499,857→ 450,344 total
Exercise/Conversion
Common Shares, no par value
2021-12-29$0.69/sh+9,250$6,400→ 37,695 total
Exercise/Conversion
Employee Stock Option (right to buy)
2021-12-28−185,000→ 259,000 total
Exercise: $0.69Exp: 2030-03-17→ Common Shares (185,000 underlying)
Exercise/Conversion
Employee Stock Option (right to buy)
2021-12-28−79,689→ 32,811 total
Exercise: $1.14Exp: 2029-02-12→ Common Shares (79,689 underlying)
Exercise/Conversion
Employee Stock Option (right to buy)
2021-12-29−9,250→ 249,750 total
Exercise: $0.69Exp: 2030-03-17→ Common Shares (9,250 underlying)
Exercise/Conversion
Common Shares, no par value
2021-12-28$0.69/sh+185,000$128,001→ 213,445 total
Sale
Common Shares, no par value
2021-12-28$2.45/sh−501,588$1,228,891→ 28,445 total
Sale
Common Shares, no par value
2021-12-29$2.49/sh−9,250$23,033→ 28,445 total
Sale
Common Shares, no par value
2021-12-29$2.44/sh−28,445$69,406→ 0 total

Footnotes (6)

[F1]The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $2.40 to not more than $2.53. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
[F2]The 9,250 shares sold on 12/29/21, were all sold at a transaction price of $2.49.
[F3]The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $2.42 to not more than $2.52. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
[F4]The reporting person was granted options on March 17, 2020, with an exercise price of $0.6919 per share to purchase up to 444,000 common shares of the issuer. One quarter of the options vested and became exercisable on March 17, 2021, the first anniversary of the grant date, and the balance vests in 36 monthly installments thereafter upon completion of each month of the reporting person's continuous employment with the issuer.
[F5]The reporting person was granted options on February 11, 2018, with an exercise price of $2.11 per share to purchase up to 247,200 common shares of the issuer. One quarter of the options vested and became exercisable on February 11, 2019, the first anniversary of the grant date, and the balance vests in 36 monthly installments thereafter upon completion of each month of the reporting person's continuous employment with the issuer.
[F6]The reporting person was granted options on February 12, 2019, with an exercise price of $1.14 per share to purchase up to 112,500 common shares of the issuer. One quarter of the options vested and became exercisable on February 12, 2020, the first anniversary of the grant date, and the balance vests in 36 monthly installments thereafter upon completion of each month of the reporting person's continuous employment with the issuer.

Documents

3 files

Issuer

Lineage Cell Therapeutics, Inc.

CIK 0000876343

→

Entity typeother

Related Parties

filerCIK 0001771711

Filing Metadata

Form type: 4
Filed: Dec 29, 7:00 PM ET
Accepted: Dec 30, 5:20 PM ET
Size: 273.0 KB

View on SEC.gov