Asterias Biotherapeutics, Inc. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2014-06-20: Federal exemption Rule 506(b); Types of securities offered OptionToAcquire; SecurityToBeAcquired; Date of first sale 2014-06-16; Total offering amount $11,700,000.
- 2014-06-19: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2014-06-09; Total offering amount $3,276,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2014-06-20 | Rule 506(b) | OptionToAcquire; SecurityToBeAcquired | 2014-06-16 | $11,700,000 | $0 | $11,700,000 | 2 |
| 2014-06-19 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2014-06-09 | $3,276,000 | $936,000 | $2,340,000 | 1 |