Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

Lineage Cell Therapeutics Inc. Director's Dealing 2017

Jan 11, 2017

6895_rns_2017-01-11_e1a246d3-9238-4ab5-8e08-6efc08aa7716.pdf

Director's Dealing

Open in viewer

Opens in your device viewer

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Form 3 Holdings Reported.

Form 4 Transactions Reported.

FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

OMB APPROVAL OMB Number: 3235-0362 Estimated average burden hours per response: 1.0

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

*
1. Name and Address of Reporting Person
GREENBELT
CORP
/NY
2. Issuer Name and Ticker or Trading Symbol
BIOTIME
INC
[
BTX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
(Last)
(First)
(Middle)
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
12/31/2016
Director
10% Owner
Officer (give title
Other (specify
X
below)
below)
150 E. 57TH STREET See Remarks
(Street) 4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing (Check Applicable
Line)
NEW YORK NY 10022 X
Form filed by One Reporting Person
(City) (State) (Zip) Form filed by More than One Reporting
Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3) 2. Transaction
Date
2A. Deemed
Execution Date,
if any
(Month/Day/Year)
3.
Transaction
Code (Instr.
8)
4. Securities Acquired (A) or
Disposed Of (D) (Instr. 3, 4 and 5)
5. Amount of
Securities
6.
Ownership
7. Nature of
Indirect
(Month/Day/Year) Amount (A) or
(D)
Price Beneficially
Owned at end of
Issuer's Fiscal
Year (Instr. 3 and
4)
Form:
Direct (D) or
Indirect (I)
(Instr. 4)
Beneficial
Ownership
(Instr. 4)
Common Shares, no par value 12/01/2016
(1)
G 69,300 D (1) 1,381,805 D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned

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

1. Title of
Derivative
Security
(Instr. 3)
2.
Conversion
or Exercise
Price of
Derivative
Security
3. Transaction
Date
(Month/Day/Year)
3A. Deemed
Execution Date,
if any
(Month/Day/Year)
4.
Transaction
Code (Instr.
8)
5. Number
of
Derivative
Securities
Acquired
(A) or
Disposed
of (D)
(Instr. 3, 4
and 5)
6. Date Exercisable and
Expiration Date
(Month/Day/Year)
7. Title and
Amount of
Securities
Underlying
Derivative
Security (Instr.
3 and 4)
8. Price
of
Derivative
Security
(Instr. 5)
9. Number of
derivative
Securities
Beneficially
Owned
Following
Reported
Transaction(s)
(Instr. 4)
10.
Ownership
Form:
Direct (D)
or Indirect
(I) (Instr.
4)
11. Nature
of Indirect
Beneficial
Ownership
(Instr. 4)
(A) (D) Date
Exercisable
Expiration
Date
Title Amount
or
Number
of
Shares

Explanation of Responses:

  1. During December 2016, Greenbelt Corp. gifted a total of 69,300 common shares to certain charitable organizations.

Remarks:

Greenbelt Corp. is an affiliate of Alfred D. Kingsley, a director of BioTime, Inc.

01/05/2017

** Signature of Reporting Person Date

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.