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SEC Filings

DEFM14A
ASTERIAS BIOTHERAPEUTICS, INC. filed this Form DEFM14A on 02/04/2019
Entire Document
 
 

 

STOCK OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT/DIRECTORS OF

ASTERIAS

 

The following table sets forth certain information with respect to the beneficial ownership of Asterias Common Stock as of December 17, 2018, for:

 

each of the Asterias directors;
   
each of the Asterias Named Executive Officers identified in the Asterias Proxy Statement on Schedule 14A filed with the SEC on April 30, 2018;
   
all of Asterias’ current directors and executive officers as a group; and
   
each person or group known by BioTime or Asterias, based on the filings pursuant to Section 13(d) or (g) under the Exchange Act, to own beneficially more than 5% of Asterias Common Stock.

 

The beneficial ownership set forth in the following table has been determined in accordance with the rules of the SEC, and the information is not necessarily indicative of beneficial ownership for any other purpose. Except as indicated by the footnotes below, BioTime and Asterias believe, based on the information furnished to them, that the persons and entities named in the table below have sole voting and investment power with respect to all shares of Asterias Common Stock that they beneficially own, subject to applicable community property laws.

 

Applicable percentage ownership is based on 58,140,554 shares of Asterias Common Stock outstanding at December 17, 2018. In computing the number of shares of Asterias Common Stock beneficially owned by a person and the percentage ownership of such person, all shares of common stock subject to options that are currently exercisable or exercisable within 60 days of December 17, 2018 and restricted stock unit awards subject to release within 60 days of December 17, 2018 are deemed to be outstanding. However, these shares are not deemed to be outstanding for the purpose of computing the percentage ownership of any other person.

 

Unless otherwise indicated, the address of each beneficial owner listed in the table below is c/o Asterias Biotherapeutics, Inc., 3055 Clearview Way, San Mateo, California 94402.

 

   Shares Beneficially Owned 
Name of Beneficial Owner  Number   Percentage (%) 
Directors and Named Executive Officers:          
Michael H. Mulroy(1)   414,254    * 
Ryan Chavez(2)   394,140    * 
Edward Wirth(3)   437,258    * 
Stephen L. Cartt(4)   702,783    1.2%
Aditya Mohanty   -    * 
Alfred D. Kingsley(5)   254,000    * 
Richard LeBuhn(6)   127,500    * 
Andrew Arno(7)   100,000    * 
Natale S. Ricciardi(8)   122,059    * 
Donald Bailey(9)   338,602    * 
Howard I. Scher(10)   55,000    * 
All executive officers and directors as a group (11 persons)(11)   2,945,596    5.07%
           
Other 5% Stockholders:          
BioTime   21,747,569    33.1%
Broadwood   5,292,156    8.1%

 

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