Form 10-K
BIOTIME INC filed this Form 10-K on 03/14/2019
Document Outline
Entire Document (6045.8 KB)
Subdocument 1 - 10-K
Page 1 - UNITED STATES
Page 2 - BioTime, Inc.
Page 3 - PART I
Page 4 - INDUSTRY AND MARKET DATA
Page 5 - Recent Transactions Affecting Our Corporate Organization
Page 6 - 2018 and Early 2019 Highlights
Page 7 - Business Strategy
Page 8 - Cell Therapy Technology
Page 9 - Cell Therapy Product Candidates
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Page 13 - Cell/Drug Delivery Technology - HyStem
Page 14 - Research Programs
Page 15 - Subsidiaries and affiliates:
Page 16 - Renevia
Page 17 - EMPLOYEES
Page 18 - HyStem Hydrogel Technology
Page 19 - License Agreement with University of California
Page 20 - GOVERNMENT REGULATION
Page 21 - Certain Medical Devices
Page 22 - Federal Funding of Research
Page 23 - N/A
Page 24 - Coverage and Reimbursement
Page 25 - Therapeutic Products and Medical Devices
Page 26 - Risks Related to Our Business Operations and Capital Requirements
Page 27 - Failure to successfully combine the businesses of BioTime and Asterias in the expected time frame or
Page 28 - Our ability to use net operating losses to offset future taxable income may be subject to limitation
Page 29 - Our business could be adversely affected if we lose the services of the key personnel upon whom we d
Page 30 - Risks Related to Government Regulation
Page 31 - If we do not receive regulatory approvals, we will not be permitted to sell our therapeutic and medi
Page 32 - The ACA and future changes to that law may adversely affect our business.
Page 33 - If we fail to comply with the extensive legal and regulatory requirements affecting the health care
Page 34 - Even if we receive approval for our products, we may be subject to extensive regulatory obligations
Page 35 - Preliminary data and interim results we disclose, and results from earlier studies, may not be predi
Page 36 - The commercial success of any of our current or future product candidates will depend upon the degre
Page 37 - We will face risks related to our own manufacturing capabilities and those related to our reliance o
Page 38 - If we do not receive CE Mark approval for Renevia, we may not commercialize Renevia at all.
Page 39 - Cell Cure has received Israeli government grants for certain of its research and development activit
Page 40 - Our international business exposes us to business, regulatory, political, operational, financial and
Page 41 - If we are unable to obtain and enforce patents and to protect our trade secrets, others could use ou
Page 42 - There is no certainty that we will be able to obtain licenses to intellectual property rights owned
Page 43 - We have relied on CIRM to fund past clinical trials of OPC1 and we do not know if they will provide
Page 44 - Securities analysts may not initiate coverage or continue to cover our common shares, and this may h
Page 45 - Generally
Page 46 - PART II
Page 47 - RESULTS OF OPERATIONS
Page 48 - N/A
Page 49 - N/A
Page 50 - N/A
Page 51 - N/A
Page 52 - Results of Operations
Page 53 - Operating Expenses
Page 54 - N/A
Page 55 - Other income and expenses, net
Page 56 - N/A
Page 57 - Income Taxes
Page 58 - Liquidity and Capital Resources
Page 59 - Cash used in investing activities
Page 60 - Index to consolidated financial statements
Page 61 - Report of Independent Registered Public Accounting Firm
Page 62 - Report of Independent Registered Public Accounting Firm
Page 63 - BIOTIME, INC. AND SUBSIDIARIES
Page 64 - BIOTIME, INC. AND SUBSIDIARIES
Page 65 - BIOTIME, INC. AND SUBSIDIARIES
Page 66 - BIOTIME, INC. AND SUBSIDIARIES
Page 67 - BIOTIME, INC. AND SUBSIDIARIES
Page 68 - BIOTIME, INC.
Page 69 - N/A
Page 70 - 2. Summary of Significant Accounting Policies
Page 71 - N/A
Page 72 - N/A
Page 73 - N/A
Page 74 - N/A
Page 75 - N/A
Page 76 - N/A
Page 77 - N/A
Page 78 - N/A
Page 79 - 3. Sale of Significant Ownership Interest in AgeX to Juvenescence Limited
Page 80 - 4. Deconsolidation and Distribution of AgeX
Page 81 - 5. Deconsolidation of OncoCyte and Asterias
Page 82 - 6. Equity Method of Accounting for Common Stock of OncoCyte, at Fair Value
Page 83 - 7. Equity Method of Accounting for Common Stock of Asterias, at Fair Value
Page 84 - 8. Property and Equipment, Net
Page 85 - 10. Accounts Payable and Accrued Liabilities
Page 86 - N/A
Page 87 - 12. Shareholders Equity
Page 88 - N/A
Page 89 - N/A
Page 90 - 13. Stock-Based Awards
Page 91 - N/A
Page 92 - N/A
Page 93 - 14. Income Taxes
Page 94 - N/A
Page 95 - N/A
Page 96 - 15. Commitments and Contingencies
Page 97 - N/A
Page 98 - N/A
Page 99 - 16. Segment Information
Page 100 - 18. Selected Quarterly Financial Information (UNAUDITED, in thousands, except per share data)
Page 101 - 19. Subsequent Events
Page 102 - N/A
Page 103 - N/A
Page 104 - PART III
Page 105 - PART IV
Page 106 - N/A
Page 107 - ITEM 16. FORM 10-K SUMMARY
Page 108 - SIGNATURES
Page 109 - N/A
Subdocument 2 - EX-10.18 - Material contracts
Page 1 - STOCK OPTION AGREEMENT
Page 2 - 3. Vesting. Unless otherwise terminated as provided by this Agreement, this option will vest (and th
Page 3 - 6. Effect of Termination of Employment. In the event of termination of the Employee s Continuous Ser
Page 4 - 8. How to Exercise Option. This Option may be exercised by the person then entitled to do so as to a
Page 5 - 11. Restrictions on Transfer. Except as otherwise provided herein, the Option herein granted and the
Page 6 - 16. Terms and Conditions of Plan. This Agreement is subject to, and the Company and the Employee agr
Page 7 - COMPANY:
Page 8 - N/A
Subdocument 3 - EX-10.38 - Material contracts
Page 1 - EMPLOYMENT AGREEMENT
Page 2 - 2. Compensation
Page 3 - 3. Competitive Activities. During the term of Executive s employment, and for twenty-four months the
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - 6. Turnover of Property and Documents on Termination. Executive agrees that on or before termination
Page 9 - 7. Resignation as a Director on Termination of Employment. If Executive s employment by Company is t
Page 10 - 9. Severability. In the event that any of the provisions of this Agreement or the Policies shall be
Page 11 - EXECUTIVE:
Page 12 - Exhibit A
Page 13 - Exhibit B
Page 14 - 1.3 Third Party Information. I understand, in addition, that Company has received and in the future
Page 15 - 2.3 Assignment of Company Inventions. Inventions assigned to Company or to a third party as directed
Page 16 - 2.9 Incorporation of Software Code. I agree that I will not incorporate into any Company software or
Page 17 - 8. Return of Company Property. When I leave the employ of Company, I will deliver to Company any and
Page 18 - 12.2 Severability. In case any one or more of the provisions, subsections, or sentences contained in
Page 19 - N/A
Page 20 - Exhibit A
Page 21 - 3. Limited Exclusion Notification.
Page 22 - N/A
Subdocument 4 - EX-23.1 - Consents of experts and counsel
Page 1 - EXHIBIT 23.1
Page 2 - N/A
Subdocument 5 - EX-23.2 - Consents of experts and counsel
Page 1 - EXHIBIT 23.2
Page 2 - N/A
Subdocument 6 - EX-31.1 - Certifications required under Section 302 of the Sarbanes-Oxley Act of 2002
Page 1 - Exhibit 31.1
Page 2 - N/A
Subdocument 7 - EX-31.2 - Certifications required under Section 302 of the Sarbanes-Oxley Act of 2002
Page 1 - Exhibit 31.2
Page 2 - N/A
Subdocument 8 - EX-32.1 - Certifications required under Section 906 of the Sarbanes-Oxley Act of 2002
Page 1 - Exhibit 32.1
Page 2 - N/A
Subdocument 9 - EX-99.1 - Exhibits not specifically designated by another number and by investment companies
Page 1 - Exhibit 99.1
Page 2 - ASTERIAS BIOTHERAPEUTICS, INC.
Page 3 - ASTERIAS BIOTHERAPEUTICS, INC.
Page 4 - ASTERIAS BIOTHERAPEUTICS, INC.
Page 5 - ASTERIAS BIOTHERAPEUTICS, INC.
Page 6 - ASTERIAS BIOTHERAPEUTICS, INC.
Page 7 - ASTERIAS BIOTHERAPEUTICS, INC.
Page 8 - 2. Summary of Significant Accounting Policies
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Page 13 - N/A
Page 14 - 3. Balance Sheet Components
Page 15 - Deferred revenue
Page 16 - 5. Intangible Assets, net
Page 17 - N/A
Page 18 - 7. Equity Incentive Plan
Page 19 - N/A
Page 20 - N/A
Page 21 - 8. Commitments and Contingencies
Page 22 - N/A
Page 23 - N/A
Page 24 - 9. Shared Facilities and Service Agreement
Page 25 - 10. Income Taxes
Page 26 - 11. Segment Information
Page 27 - 13. License and Royalty Obligations
Page 28 - N/A
Page 29 - 14. Clinical Trial and Option Agreement with CRUK and CIRM Grant Award
Page 30 - 15. Subsequent Events
Page 31 - N/A
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