Hogge Gary S.'s Form 4 filing
Lineage Cell Therapeutics, Inc. (LCTX) · filed Dec 30, 2021
- Accession no.
- 0001493152-21-032897
- Filed
- Dec 30, 2021
- Trade date
- Dec 28-29, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 4 derivative transactions. Open-market sales total $1.32M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Hogge Gary S.CIK 0001771711 | Officer (SVP,Clinical & Medical Affairs) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 28, 2021 | Common Shares, no par value | MOption exerciseAcquired | +185,000 | $0.69 | +$127,650 | 213,445 | Direct | |
| Dec 28, 2021 | Common Shares, no par value | MOption exerciseAcquired | +236,899 | $2.11 | +$499,856.89 | 450,344 | Direct | |
| Dec 28, 2021 | Common Shares, no par value | MOption exerciseAcquired | +79,689 | $1.14 | +$90,845.46 | 530,033 | Direct | |
| Dec 28, 2021 | Common Shares, no par value | SSaleDisposed | −501,588 | $2.45 | −$1,228,890.6 | 28,445 | Direct | |
| Dec 29, 2021 | Common Shares, no par value | MOption exerciseAcquired | +9,250 | $0.69 | +$6,382.5 | 37,695 | Direct | |
| Dec 29, 2021 | Common Shares, no par value | SSaleDisposed | −9,250 | $2.49 | −$23,032.5 | 28,445 | Direct | |
| Dec 29, 2021 | Common Shares, no par value | SSaleDisposed | −28,445 | $2.44 | −$69,405.8 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 28, 2021 | Common Shares | MOption exerciseDisposed | −185,000 | $0.00 | $0 | 259,000 | Direct | |
| Dec 28, 2021 | Common Shares | MOption exerciseDisposed | −236,899 | $0.00 | $0 | 10,301 | Direct | |
| Dec 28, 2021 | Common Shares | MOption exerciseDisposed | −79,689 | $0.00 | $0 | 32,811 | Direct | |
| Dec 29, 2021 | Common Shares | MOption exerciseDisposed | −9,250 | $0.00 | $0 | 249,750 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.