SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Hernandez Alexandra

(Last) (First) (Middle)
C/O LINEAGE CELL THERAPEUTICS
2173 SALK AVENUE, SUITE 200

(Street)
CARLSBAD CA 92008

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/07/2022
3. Issuer Name and Ticker or Trading Symbol
Lineage Cell Therapeutics, Inc. [ LCTX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Sr Director Finance/Controller
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy) (1) 09/01/2029 Common Shares 100,000 0.9 D
Employee Stock Option (Right to Buy) (2) 03/17/2030 Common Shares 29,192 0.6919 D
Employee Stock Option (Right to Buy) (3) 03/15/2031 Common Shares 42,700 2.43 D
Employee Stock Option (Right to Buy) (4) 03/10/2032 Common Shares 48,000 1.4 D
Explanation of Responses:
1. One quarter of the options vested on September 1, 2020 and the remaining will vest in 36 equal monthly installments thereafter upon the completion of each month of continuous employment.
2. One quarter of the options vested on March 17, 2021 and the remaining will vest in 36 equal monthly installments thereafter upon the completion of each month of continuous employment.
3. One quarter of the options vested on March 15, 2022 and the remaining will vest in 36 equal monthly installments thereafter upon the completion of each month of continuous employment.
4. One quarter of the options will vest on March 10, 2023 and the remaining will vest in 36 equal monthly installments thereafter upon the completion of each month of continuous employment.
/s/ Alexandra Hernandez 07/08/2022
** 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 5 (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.
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