| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LCTX | Common Shares | Purchase | $6,000,000 | +7,894,737 | +19% | $0.7600 | 49,560,992 | 27 Jan 2025 | Direct | F1, F2 |
| transaction | LCTX | Common Shares | Purchase | $0 | 0 | 0% | $0.000000* | 49,560,992 | 27 Jan 2025 | See Footnote | F1 |
| holding | LCTX | Common Shares | 87,628 | 27 Jan 2025 | Direct | F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LCTX | Common Warrant | Purchase | $0 | +7,894,737 | $0.000000 | 7,894,737 | 27 Jan 2025 | Common Shares | 7,894,737 | $0.9100 | Direct | F1, F2, F4 | |
| transaction | LCTX | Common Warrant | Purchase | $0 | 0 | 0% | $0.000000* | 7,894,737 | 27 Jan 2025 | Common Shares | 7,894,737 | $0.9100 | See Footnote | F1, F2, F4 |
| Id | Content |
|---|---|
| F1 | The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such 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 | On November 19, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Lineage Cell Therapeutics, Inc. (the "Issuer") pursuant to which Broadwood Partners agreed to acquire (i) 7,894,737 of the Issuer's Common Shares, no par value (the "Common Shares") and (ii) 7,894,737 common share purchase warrants (the "Common Warrants"), each of which will be exercisable for one Common Share, from the Issuer in its registered direct offering for a total purchase price of $6,000,000, or $0.76 per Common Share and accompanying Common Warrant (the "Transaction"). The closing of the Transaction was subject to obtaining the approval of the Issuer's shareholders, which was obtained on January 27, 2025, and the closing of the Transaction occurred on the same date. |
| F3 | These securities are owned by Neal C. Bradsher in his personal capacity. |
| F4 | The Common Warrants will expire on the earlier of (a) May 21, 2028 and (b) the 90th day following the date of the public disclosure of the intent to advance OpRegen (also known as RG6501) into a multi-center phase 2 or 3 clinical trial which includes a control or comparator arm, or if the date of such public disclosure occurs prior to May 21, 2025, then the 90th day following May 21, 2025. |