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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: 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 | Amount or Number of Shares | ||||||||
Option to Puchase Common Shares | $ 4.6 | (4) | 06/30/2017 | Common Shares | 50,000 | 50,000 | D | ||||||||
Option to Puchase Common Shares | $ 5.13 | (5) | 06/30/2016 | Common Shares | 50,000 | 50,000 | D | ||||||||
Option to Puchase Common Shares | $ 5.45 | (6) | 08/09/2015 | Common Shares | 50,000 | 50,000 | D | ||||||||
Option to Puchase Common Shares | $ 2.3 | (7) | 07/01/2014 | Common Shares | 50,000 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KINGSLEY ALFRED D 150 E. 57TH STREET NEW YORK, NY 10022 |
X | X | See Remarks |
/s/ Alfred D. Kingsley | 07/31/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | On July 30, 2012, Mr. Kingsley transferred 140,000 BioTime common shares to BioTime's subsidiary LifeMap, Inc. in exchange for shares of LifeMap common stock under the terms of a Share Exchange and Contribution Agreement (the "LifeMap Agreement"). |
(2) | Price determined under the LifeMap Agreement as the highest volume weighted average closing price per share on the NYSE MKT for ten consecutive trading days during the period from July 1, 2012 through July 31, 2012. |
(3) | Does not include shares that Mr. Kingsley may acquire through the exercise of certain options. |
(4) | 12,500 options will become exercisable on September 30, 2012; December 31, 2012; March 31, 2013; and June 30, 2013 based upon continued service on the board of directors. |
(5) | 12,500 options became exercisable on September 30, 2011; December 31, 2011; March 31, 2012; and June 30, 2012. |
(6) | 12,500 options became exercisable on September 30, 2010; December 31, 2010; March 31, 2011; and June 30, 2011. |
(7) | 12,500 options became exercisable on September 30, 2009; December 31, 2009; March 31, 2010; and June 30, 2010. |
Remarks: Mr. Kingsley is Executive Chairman of certain BioTime subsidiaries. |