Neal C. Bradsher - 25 Jun 2021 Form 4 Insider Report for Lineage Cell Therapeutics, Inc. (LCTX)

Role
Director, 10%+ Owner
Signature
/s/ Neal C. Bradsher
Issuer symbol
LCTX
Transactions as of
25 Jun 2021
Net transactions value
+$54,384
Form type
4
Filing time
25 Jun 2021, 15:46:03 UTC
Next filing
01 Jul 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LCTX Common Shares Options Exercise $54,384 +24,720 +39% $2.20 87,628 25 Jun 2021 Direct
holding LCTX Common Shares 34,005,379 25 Jun 2021 See Footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction LCTX OPTION TO PURCHASE COMMON SHARES Options Exercise $0 -24,720 -100% $0.000000* 0 25 Jun 2021 COMMON SHARES 24,720 $2.20 Direct F2
holding LCTX OPTION TO PURCHASE COMMON SHARES 40,000 25 Jun 2021 COMMON SHARES 40,000 $0.8263 Direct F2
holding LCTX OPTION TO PURCHASE COMMON SHARES 40,000 25 Jun 2021 COMMON SHARES 40,000 $1.03 Direct F2
holding LCTX OPTION TO PURCHASE COMMON SHARES 49,440 25 Jun 2021 COMMON SHARES 49,440 $1.67 Direct F2
holding LCTX OPTION TO PURCHASE COMMON SHARES 24,720 25 Jun 2021 COMMON SHARES 24,720 $2.55 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher (the "Reporting Person"), as President of Broadwood Capital. Each of Broadwood Capital and the Reporting Person 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 or the Reporting Person 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.
F2 These options are currently exercisable.