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Lineage Cell Therapeutics Inc. Director's Dealing 2021

Mar 18, 2021

6895_rns_2021-03-18_6f8e918f-8ff9-4b69-819e-6f84945d3b5c.pdf

Director's Dealing

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SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 OMB APPROVAL
Check this box if no longer subject to
Section 16. Form 4 or Form 5
obligations may continue. See
Instruction 1(b).
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
OMB Number:
hours per response:
Estimated average burden 3235-0287
0.5
1. Name and Address of Reporting Person*
Hogge Gary S.
2. Issuer Name and Ticker or Trading Symbol
Lineage Cell Therapeutics, Inc. [ LCTX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
10% Owner
Officer (give title
Other (specify
X
below)
below)
SVP,Clinical & Medical Affairs
(Last)
(First)
(Middle)
C/O LINEAGE CELL THERAPEUTICS, INC.
2173 SALK AVENUE, SUITE 200
3. Date of Earliest Transaction (Month/Day/Year)
03/15/2021
(Street)
CARLSBAD
CA
92008
4. If Amendment, Date of Original Filed (Month/Day/Year) Line) 6. Individual or Joint/Group Filing (Check Applicable
X
Form filed by One Reporting Person
Form filed by More than One Reporting
Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)
Date
2. Transaction
(Month/Day/Year)
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
Beneficially
Owned Following
6. Ownership
Form: Direct
(D) or Indirect
(I) (Instr. 4)
7. Nature of
Indirect
Beneficial
Ownership
Code V Amount (A) or
(D)
Price Reported
Transaction(s)
(Instr. 3 and 4)
(Instr. 4)
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.
8)
Transaction
Code (Instr.
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
10.
Ownership
Form:
Direct (D)
or Indirect
(I) (Instr. 4)
11. Nature
of Indirect
Beneficial
Ownership
(Instr. 4)
Code V (A) (D) Date
Exercisable
Expiration
Date
Title or Amount
Number
of Shares
Transaction(s)
(Instr. 4)

Shares 419,500 \$0.00 419,500 D

03/17/2021

/s/ Chase C. Leavitt, as Attorney-in-Fact for Gary S.

** Signature of Reporting Person Date

Hogge

* 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).

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

Employee Stock Option (Right to Buy)

Explanation of Responses:

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

\$2.43 03/15/2021 A 419,500 (1) 03/15/2031 Common

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.

  1. One quarter of the options shall vest on March 15, 2022 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment.