Lineage Cell Therapeutics, 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.
- 2014-03-07: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2014-03-04; Total offering amount $15,000,000.
- 2011-03-24: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2011-03-21; Total offering amount $3,600,000.
- 2009-07-14: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; Date of first sale 2009-05-13; Total offering amount $16,800,000.
- 2009-05-21: Federal exemption Rule 506; Types of securities offered Equity; Debt; Date of first sale 2009-04-15; Total offering amount Indefinite.
| 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 |
|---|---|---|---|---|---|---|---|
| 2014-03-07 | Rule 506(b) | Equity; OptionToAcquire | 2014-03-04 | $15,000,000 | $3,500,000 | $11,500,000 | 3 |
| 2011-03-24 | Rule 506 | Equity; OptionToAcquire; SecurityToBeAcquired | 2011-03-21 | $3,600,000 | $3,600,000 | $0 | 20 |
| 2009-07-14 D/A | Rule 506 | Equity; OptionToAcquire | 2009-05-13 | $16,800,000 | $8,000,000 | $8,800,000 | 2 |
| 2009-05-21 D/A | Rule 506 | Equity; Debt | 2009-04-15 | Indefinite | $3,499,282 | Indefinite | 29 |
| 2009-05-18 | Rule 506 | Equity; OptionToAcquire | 2009-05-13 | $16,800,000 | $4,000,000 | $12,800,000 | 2 |
| 2009-04-28 | Rule 506 | Equity; Debt | 2009-04-15 | Indefinite | $3,430,000 | Indefinite | 20 |
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