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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 | ||||||||||||||||
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| 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 |
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| 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 |
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| (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 |
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| (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 |
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| (City) (State) (Zip) |
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| 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 |
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| 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) |
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| 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.
- 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.