AST.WS / Asterias Biotherapeutics, Inc. Warrants - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

AST / Asterias Biotherapeutics, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-36646 Asterias Biotherapeutics, Inc.* (Exact name of registrant as speci

AST / Asterias Biotherapeutics, Inc.

As filed with the Securities and Exchange Commission on March 14, 2019 Registration Nos.

AST / Asterias Biotherapeutics, Inc.

As filed with the Securities and Exchange Commission on March 14, 2019 Registration Nos.

AST / Asterias Biotherapeutics, Inc.

As filed with the Securities and Exchange Commission on March 14, 2019 Registration Nos.

AST / Asterias Biotherapeutics, Inc.

POS AM 1 forms-3posam.htm As filed with the Securities and Exchange Commission on March 14, 2019 Registration Nos. 333-200745; 333-204441; 333-215154 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-3 POST-EFFECTIVE AMENDMENT NO. 1 TO REGISTRATION STATEMENT NO. 333-200745 POST-EFFECTIVE AMENDMENT NO. 1 TO REGISTRATION STATEMENT NO. 333-204441 POST-EFFECTIVE AMENDMENT NO

AST / Asterias Biotherapeutics, Inc.

As filed with the Securities and Exchange Commission on March 14, 2019 Registration Nos.

AST / Asterias Biotherapeutics, Inc.

POS AM 1 forms-3posam.htm As filed with the Securities and Exchange Commission on March 14, 2019 Registration Nos. 333-200745; 333-204441; 333-215154 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-3 POST-EFFECTIVE AMENDMENT NO. 1 TO REGISTRATION STATEMENT NO. 333-200745 POST-EFFECTIVE AMENDMENT NO. 1 TO REGISTRATION STATEMENT NO. 333-204441 POST-EFFECTIVE AMENDMENT NO

AST / Asterias Biotherapeutics, Inc.

S-8 POS 1 s-8pos.htm As filed with the Securities and Exchange Commission on March 14, 2019 Registration Nos. 333-202674; 333-206237; 333-211995; 333-218951 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO Form S-8 Registration Statement (No. 333-202674) Form S-8 Registration Statement (No. 333-206237) Form S-8 Registration Statement (No. 33

AST / Asterias Biotherapeutics, Inc. / BIOTIME INC Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) ASTERIAS BIOTHERAPEUTICS, INC. (Name of Issuer) Series A Common Stock, par value $0.0001 per share 04624N 10 7 (Title of class of securities) (CUSIP number) Brandi Roberts Chief Financial Officer BioTime, Inc. 1010 Atlantic Avenue Suite 102 Alameda, Calif

OCX / OncoCyte Corporation / Broadwood Partners LP Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.

Amended and Restated Bylaws of Asterias Biotherapeutics, Inc.

Exhibit 3.2 BYLAWS OF ASTERIAS BIOTHERAPEUTICS, INC. TABLE OF CONTENTS Page ARTICLE I CORPORATE OFFICES 1 1.1 Registered Office 1 1.2 Other Offices 1 ARTICLE II MEETINGS OF STOCKHOLDERS 1 2.1 Annual Meetings 1 2.2 Special Meetings 1 2.3 Notice of Stockholders’ Meetings 2 2.4 Quorum 3 2.5 Organization; Conduct of Business 3 2.6 Proxies and Voting 3 2.7 Waiver of Notice 4 2.8 Stockholder Action By W

Completion of Acquisition or Disposition of Assets, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Material Modification to Rights of Security Holders, Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Submission of Matters to a Vote of Security Holders, Financial Statements and Exhibits

8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 7, 2019 Asterias Biotherapeutics, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-36646 46-1047971 (State or Other Jurisdiction of Incorpo

Amended and Restated Certificate of Incorporation of Asterias Biotherapeutics, Inc.

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ASTERIAS BIOTHERAPEUTICS, INC. ARTICLE I The name of the corporation is Asterias Biotherapeutics, Inc. (the “Corporation”). ARTICLE II The address of the Corporation’s registered office in the State of Delaware is 1209 Orange Street, City of Wilmington, County of New Castle, 19801. The name of its registered agent at such address is

EX-99.25

NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE American LLC hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on March 19, 2019, pursuant to the provisions of Rule 12d2-2 (a).

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: March 1, 2019 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer I

AST / Asterias Biotherapeutics, Inc. 8-K (Prospectus)

425 1 form8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: March 1, 2019 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commission File Nu

AST / Asterias Biotherapeutics, Inc. 425 (Prospectus)

Filed by Asterias Biotherapeutics, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Corporation: Asterias Biotherapeutics, Inc. Commission File No.: 001-36646 Dear Fellow Shareholder, You recently received proxy materials in connection with the special meeting of stockholders of Asterias Biotherapeuti

Agreement and Plan of Merger, dated November 7, 2018, by and among BioTime, Inc., Patrick Merger Sub, Inc. and Asterias Biotherapeutics, Inc. (incorporated by reference to Annex A to BioTime, Inc.’s Joint Proxy Statement/Prospectus filed with the SEC on March 4, 2019).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant  ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use o

AST / Asterias Biotherapeutics, Inc. 425 (Prospectus)

425 1 form425.htm 425 Filed by Asterias Biotherapeutics, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Corporation: Asterias Biotherapeutics, Inc. Commission File No.: 001-36646 Asterias Provides Top Line 12 Month Data Update for its OPC1 Phase 1/2a Clinical Trial in Severe Spinal Cord Injury FREMO

BTX / BioTime, Inc. 425 (Prospectus)

BTX / BioTime, Inc. 425 (Prospectus)

AST / Asterias Biotherapeutics, Inc. 425 (Prospectus)

Clinical-Stage Immunotherapy and Neurology Company Asterias BiotherapeuticsNYSE Market: ASTDecember 2018 Filed by Asterias Biotherapeutics, Inc.

AST / Asterias Biotherapeutics, Inc. 425 (Prospectus)

425 1 form425.htm 425 Filed by Asterias Biotherapeutics, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Corporation: Asterias Biotherapeutics, Inc. Commission File No.: 001-36646 Asterias Biotherapeutics Reports Third Quarter Results Clinical Programs Continue to Progress Recent Transactions with af

BTX / BioTime, Inc. 425 (Prospectus)

425 1 form425.htm FILED BY BIOTIME, INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 AND DEEMED FILED PURSUANT TO RULE 14a-12 UNDER THE SECURITIES EXCHANGE ACT OF 1934 SUBJECT COMPANY: ASTERIAS BIOTHERAPEUTICS, INC. COMMISSION FILE NO.: 001-36646 BioTime Third Quarter 2018 Financial Results Conference Call November 8, 2018 OPERATOR Welcome to the BioTime Inc. Third Quarter 2018 Conferenc

AST / Asterias Biotherapeutics, Inc. 10-Q (Quarterly Report)

10-Q 1 form10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001

SUBLEASE AGREEMENT

Exhibit 10.1 SUBLEASE AGREEMENT THIS SUBLEASE AGREEMENT (together with any and all future amendments or modifications thereto, the “Sublease”) is entered into as of September 27, 2018 (the “Effective Date”), by and between NOVO NORDISK RESEARCH CENTER SEATTLE, INC., a Delaware corporation (“NNRCSI”) and ASTERIAS BIOTHERAPEUTICS, INC., a Delaware corporation (“Asterias”). THE PARTIES ENTER this Sub

AST / Asterias Biotherapeutics, Inc. 425 (Prospectus)

Filed by Asterias Biotherapeutics, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Corporation: Asterias Biotherapeutics, Inc. Commission File No.: 001-36646 November 8, 2018 Dear Asterias Employees: I am writing to share some important and exciting news about our company. Today we announced that Ast

AGREEMENT AND PLAN OF MERGER by and among BIOTIME, INC., PATRICK MERGER SUB, INC. ASTERIAS BIOTHERAPEUTICS, INC. dated as of November 7, 2018 TABLE OF CONTENTS

Exhibit 2.1 EXECUTION AGREEMENT AND PLAN OF MERGER by and among BIOTIME, INC., PATRICK MERGER SUB, INC. and ASTERIAS BIOTHERAPEUTICS, INC. dated as of November 7, 2018 TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Certificate of Incorporation; Bylaws 2 Section 1.5 Directors and Officers of the Surviving Corpora

BIOTIME AND ASTERIAS BIOTHERAPEUTICS ENTER INTO DEFINITIVE MERGER AGREEMENT TO CREATE LEADING CELL THERAPY COMPANY BioTime Acquires Two Clinical-Stage Cell Therapy Product Candidates Addressing Significant Unmet Needs in Spinal Cord Injury and Immuno

Exhibit 99.1 BIOTIME AND ASTERIAS BIOTHERAPEUTICS ENTER INTO DEFINITIVE MERGER AGREEMENT TO CREATE LEADING CELL THERAPY COMPANY BioTime Acquires Two Clinical-Stage Cell Therapy Product Candidates Addressing Significant Unmet Needs in Spinal Cord Injury and Immuno-Oncology Asterias Stockholders to Receive 0.71 Shares of BioTime for Each Share of Asterias Biotherapeutics ALAMEDA, CA and FREMONT, CA

AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.3 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is made as of November 7, 2018 by and between Asterias Biotherapeutics, Inc. (“Asterias”), a Delaware corporation, and Ryan Chavez ("Executive"), and shall be effective and replace that certain employment agreement dated July 18, 2016 by and between Asterias and Executive at the time

AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is made as of November 7, 2018 by and between Asterias Biotherapeutics, Inc. (“Asterias”), a California corporation, and Craig Halberstadt ("Executive"), and shall be effective and replace that certain employment agreement dated July 18, 2016 by and between Asterias and Executive at

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

8-K 1 form8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 7, 2018 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction

AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.2 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is made as of November 7, 2018 by and between Asterias BioTherapeutics (“Asterias”), a California corporation, and Edward Wirth, III ("Executive"), and shall be effective and replace that certain employment agreement dated June 16, 2013 by and between Asterias and Executive at the ti

AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.2 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is made as of November 7, 2018 by and between Asterias BioTherapeutics (“Asterias”), a California corporation, and Edward Wirth, III ("Executive"), and shall be effective and replace that certain employment agreement dated June 16, 2013 by and between Asterias and Executive at the ti

AST / Asterias Biotherapeutics, Inc. 8-K (Prospectus)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 7, 2018 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Co

BIOTIME AND ASTERIAS BIOTHERAPEUTICS ENTER INTO DEFINITIVE MERGER AGREEMENT TO CREATE LEADING CELL THERAPY COMPANY BioTime Acquires Two Clinical-Stage Cell Therapy Product Candidates Addressing Significant Unmet Needs in Spinal Cord Injury and Immuno

Exhibit 99.1 BIOTIME AND ASTERIAS BIOTHERAPEUTICS ENTER INTO DEFINITIVE MERGER AGREEMENT TO CREATE LEADING CELL THERAPY COMPANY BioTime Acquires Two Clinical-Stage Cell Therapy Product Candidates Addressing Significant Unmet Needs in Spinal Cord Injury and Immuno-Oncology Asterias Stockholders to Receive 0.71 Shares of BioTime for Each Share of Asterias Biotherapeutics ALAMEDA, CA and FREMONT, CA

AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.3 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is made as of November 7, 2018 by and between Asterias Biotherapeutics, Inc. (“Asterias”), a Delaware corporation, and Ryan Chavez ("Executive"), and shall be effective and replace that certain employment agreement dated July 18, 2016 by and between Asterias and Executive at the time

AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is made as of November 7, 2018 by and between Asterias Biotherapeutics, Inc. (“Asterias”), a California corporation, and Craig Halberstadt ("Executive"), and shall be effective and replace that certain employment agreement dated July 18, 2016 by and between Asterias and Executive at

AGREEMENT AND PLAN OF MERGER by and among BIOTIME, INC., PATRICK MERGER SUB, INC. ASTERIAS BIOTHERAPEUTICS, INC. dated as of November 7, 2018 TABLE OF CONTENTS

EX-2.1 2 ex21.htm EXHIBIT 2.1 Exhibit 2.1 EXECUTION AGREEMENT AND PLAN OF MERGER by and among BIOTIME, INC., PATRICK MERGER SUB, INC. and ASTERIAS BIOTHERAPEUTICS, INC. dated as of November 7, 2018 TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Certificate of Incorporation; Bylaws 2 Section 1.5 Directors and Off

AST / Asterias Biotherapeutics, Inc. / BIOTIME INC Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) ASTERIAS BIOTHERAPEUTICS, INC. (Name of Issuer) Series A Common Stock, par value $0.0001 per share 04624N 10 7 (Title of class of securities) (CUSIP number) Russell Skibsted Chief Financial Officer BioTime, Inc. 1010 Atlantic Avenue Suite 102 Alameda, Cal

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 28, 2018 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 17, 2018 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (

CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION ASTERIAS BIOTHERAPEUTICS, INC. (Pursuant to Section 242 of the General Corporation Law of the State of Delaware)

EX-3.1 2 ex31.htm EXHIBIT 3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ASTERIAS BIOTHERAPEUTICS, INC. (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) The undersigned, Ryan D. Chavez, Chief Financial Officer and General Counsel of Asterias Biotherapeutics, Inc., a corporation organized and existing under the l

AST / Asterias Biotherapeutics, Inc. 10-Q (Quarterly Report)

10-Q 1 form10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-3664

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 20, 2018 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commi

AST / Asterias Biotherapeutics, Inc. 10-Q (Quarterly Report)

10-Q 1 form10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-366

AST / Asterias Biotherapeutics, Inc. DEF 14A

DEF 14A 1 s002212x3def14a.htm DEF 14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant  o Check the appropriate box:

AST / Asterias Biotherapeutics, Inc. PRER14A

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant  o Check the appropriate box: ☒ Preliminary Proxy Statement  o Conf

AST / Asterias Biotherapeutics, Inc. PRE 14A

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant  o Check the appropriate box: ☒ Preliminary Proxy Statement  o Conf

AST / Asterias Biotherapeutics, Inc. FORM 10-K (Annual Report)

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR  o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36646 Asteria

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 30, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (C

AST / Asterias Biotherapeutics, Inc. / BIOTIME INC Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) ASTERIAS BIOTHERAPEUTICS, INC. (Name of Issuer) Series A Common Stock, par value $0.0001 per share 04624N 10 7 (Title of class of securities) (CUSIP number) Russell Skibsted Chief Financial Officer BioTime, Inc. 1010 Atlantic Avenue Suite 102 Alameda, Cal

AMENDMENT NO. 1 SECURITIES PURCHASE AGREEMENT

Exhibit 10.1 AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT This Amendment No. 1 to the Securities Purchase Agreement (this “Amendment”) is made as of October 16, 2017 by and among Asterias Biotherapeutics, Inc., a Delaware Corporation (the “Company”) and each purchaser identified on the signature pages thereto (each a “Purchaser” and collectively together with the Company, the “Parties”). Capit

AST / Asterias Biotherapeutics, Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36646 Asterias Biothera

Asterias Biotherapeutics, Inc. 4,000,000 Shares of Series A Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-215154 PROSPECTUS SUPPLEMENT (To Prospectus dated January 13, 2017) Asterias Biotherapeutics, Inc. 4,000,000 Shares of Series A Common Stock We are offering 4,000,000 shares of our Series A Common Stock (the ?Shares?) to certain investors pursuant to this prospectus supplement and the accompanying prospectus. Each Share will be sold at a price

SECURITIES PURCHASE AGREEMENT

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ? Agreement?) is dated as of October 16, 2017, between Asterias Biotherapeutics, Inc., a Delaware corporation (the ? Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ? Purchaser? and collectively the ? Purchasers?). WHEREAS, subject to the terms a

[Signature Page to Asterias Bio Engagement Agreement]

Exhibit 10.2 Steven Urbach Chief Executive Officer Chardan Capital Markets, LLC 17 State Street Suite 1600 New York, NY 10004 Tel: 646 465 9003 Fax: 646 465 9091 October 15, 2017 STRICTLY CONFIDENTIAL Asterias Biotherapeutics, Inc. 6300 Dumbarton Circle Fremont, CA 94555 Attn: Michael Mulroy Dear Michael: This letter (the ?Agreement?) constitutes the agreement between Asterias Biotherapeutics, Inc

Asterias Biotherapeutics Announces $10.4 Million Registered Direct Offering

EX-99.1 5 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Asterias Biotherapeutics Announces $10.4 Million Registered Direct Offering FREMONT, California, October 16, 2017 — Asterias Biotherapeutics, Inc. (NYSE American: AST), a biotechnology company focused on the field of regenerative medicine, today announced that it entered into a securities purchase agreement with certain institutional investors in conne

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 form8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 15, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 2, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Com

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE American: ASTOctober 2017 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or op

Exhibit 99.2 Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE American: ASTOctober 2017 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other

Asterias Announces Two Significant Developments for Spinal Cord Injury Program 67% of Cohort 2 subjects have recovered two or more motor levels on at least one side through 12 months AST-OPC1 receives Regenerative Medicine Advanced Therapy (RMAT) des

EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Asterias Announces Two Significant Developments for Spinal Cord Injury Program 67% of Cohort 2 subjects have recovered two or more motor levels on at least one side through 12 months AST-OPC1 receives Regenerative Medicine Advanced Therapy (RMAT) designation from FDA FREMONT, Calif. October 2, 2017 – Asterias Biotherapeutics, Inc. (NYSE American: AST),

Financial Statements and Exhibits, Other Events

8-K 1 form8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 26, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdictio

Asterias Receives Regulatory Clearance to Initiate Clinical Study of AST-VAC2 in Subjects with Early and Late Stage Non-Small Cell Lung Cancer Industry News Substantiates Development of First-in-Class Allogeneic Cancer Immunotherapy

EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Asterias Receives Regulatory Clearance to Initiate Clinical Study of AST-VAC2 in Subjects with Early and Late Stage Non-Small Cell Lung Cancer Industry News Substantiates Development of First-in-Class Allogeneic Cancer Immunotherapy FREMONT, Calif. September 26, 2017 – Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a biotechnology company pioneering t

September 7, 2017

Exhibit 99.1 September 7, 2017 To Our Stockholders: This is a very exciting time for the cell therapy industry. Recently, there have been several developments which may point to the industry achieving an increased level of validation amongst investors, partners, and the general public: ? On August 30 th, the U.S. Food and Drug Administration (FDA) approved the first CAR-T therapy, Kymriah, which i

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 7, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (C

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 16, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Com

AST / Asterias Biotherapeutics, Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36646 Asterias Biotherapeuti

Asterias Biotherapeutics S-8

As filed with the Securities and Exchange Commission on June 23, 2017 Registration No.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 14, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commi

Asterias Biotherapeutics DEFA14A

DEFA14A 1 h10044107x1defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary P

EMPLOYMENT AGREEMENT

EX-10.1 2 ex101.htm EXHIBIT 10.1 Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made as of May 23, 2017 by and between Asterias Biotherapeutics, Inc. (“Asterias”), a Delaware corporation, and Michael H. Mulroy (“Executive”). 1. Engagement; Position and Duties. (a) Asterias agrees to employ Executive in the position described on Exhibit A effective as of the date of th

May 23, 2017

EX-10.2 3 ex102.htm EXHIBIT 10.2 Exhibit 10.2 May 23, 2017 Mr. Steve Cartt c/o Asterias Biotherapeutics, Inc. 6300 Dumbarton Circle, Fremont, CA 94555 Re: Separation Agreement and Release of All Claims Dear Steve: 1. This letter will confirm our agreement (“Agreement”) concerning your separation from employment with Asterias Biotherapeutics, Inc. (“Asterias” or “Company”). 2. You have notified Ast

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 1 form8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 23, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of i

Asterias Biotherapeutics Announces Top Leadership Transition -Steve Cartt to transition out as President & CEO, remain on the Board of Directors- -Michael Mulroy appointed President & CEO effective June 26, 2017- -Katy Spink, Ph.D., promoted to Execu

Exhibit 99.1 Asterias Biotherapeutics Announces Top Leadership Transition -Steve Cartt to transition out as President & CEO, remain on the Board of Directors- -Michael Mulroy appointed President & CEO effective June 26, 2017- -Katy Spink, Ph.D., promoted to Executive Vice President & COO- -Conference Call Today at 4:45pm ET- FREMONT, Calif. May 23, 2017 ? Asterias Biotherapeutics, Inc. (NYSE MKT:

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTMay 2017 14219863Text 04698Text 230237246Text Disclaimers on Patient Stories AST-OPC1 is a cell-based t

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTMay 2017 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other statements about the future expectations, beliefs, goals, plans, or prospects expressed by management constitute forward-looking statements.

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 form8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 15, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of i

Asterias Biotherapeutics 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36646 Asterias Biotherapeut

Asterias Biotherapeutics DEFA14A

DEFA14A 1 h10043351x1defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary P

Asterias Biotherapeutics DEF 14A

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confid

AST / Asterias Biotherapeutics, Inc. / BIOTIME INC Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) ASTERIAS BIOTHERAPEUTICS, INC. (Name of Issuer) Series A Common Stock, par value $0.0001 per share 04624N 107 (Title of class of securities) (CUSIP number) Russell Skibsted Chief Financial Officer BioTime, Inc. 1010 Atlantic Avenue Suite 102 Alameda, Cali

$25,000,000.00 Asterias Biotherapeutics, Inc. Series A Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-215154 PROSPECTUS SUPPLEMENT (To Prospectus dated January 13, 2017) $25,000,000.00 Asterias Biotherapeutics, Inc. Series A Common Stock We have entered into an amendment to its at the market issuance sales agreement (as amended, the ?Sales Agreement?), with MLV & Co. LLC (?MLV?) and FBR Capital Markets & Co. (?FBR? and together with MLV, the ?A

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC 10-K 12-31-2016 (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36646 Asterias Biotherapeutics,

AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENT

Exhibit 10.24 AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENT March 28, 2017 FBR Capital Markets & Co. 1300 North 17th Street, Suite 1400 Arlington, VA 22209 MLV & Co. LLC 299 Park Avenue, 7th Floor New York, NY 10171 Ladies and Gentlemen: Asterias Biotherapeutics, Inc. (the “Company”), and MLV & Co. LLC (“MLV”), are parties to that certain At Market Issuance Sales Agreement dated April 10,

AMENDMENT NO. 2 TO WARRANT AGREEMENT Asterias Biotherapeutics, Inc. American Stock Transfer & Trust Company, LLC, as Warrant Agent

Exhibit 99.1 AMENDMENT NO. 2 TO WARRANT AGREEMENT Asterias Biotherapeutics, Inc. and American Stock Transfer & Trust Company, LLC, as Warrant Agent This Amendment No. 2 (the “Amendment”) the Warrant Agreement (as defined below) is made and entered into as of February 3, 2017 by and between Asterias Biotherapeutics, Inc. (the "Company") and American Stock Transfer & Trust Company, LLC, (the "Warran

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS INC 8-K 2-3-2017 (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 3, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Co

Asterias Biotherapeutics, Inc. Transferable Warrants to Purchase up to 3,329,035 Shares of Series A Common Stock and the Shares Issuable pursuant to such Warrants

Filed pursuant to Rule 424(b)(3) Registration Statement No. 333-200745 PROSPECTUS SUPPLEMENT (To Prospectus dated January 23, 2015 and Prospectus Supplements dated April 11, 2016 and September 19, 2016) Asterias Biotherapeutics, Inc. Transferable Warrants to Purchase up to 3,329,035 Shares of Series A Common Stock and the Shares Issuable pursuant to such Warrants We are extending the expiration da

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 24, 2017 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Co

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTJanuary 2017 14219863Text 04698Text 230237246Text Strong Leadership Team with Proven Track Record Name

Exhibit 99.1 Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTJanuary 2017 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other st

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC. S-3 12-16-2016

As filed with the U.S. Securities and Exchange Commission on December 16, 2016 Registration No. 333- [ ] UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASTERIAS BIOTHERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 46-1047971 (State or Other Jurisdiction of Incorporation or Org

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 17, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (C

EMPLOYMENT AGREEMENT

Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made as of July 18, 2016 by and between Asterias Biotherapeutics, Inc. (“Asterias”), a Delaware corporation, and Ryan Chavez ("Executive"). 1. Engagement; Position and Duties. (a) Asterias agrees to employ Executive in the position described on Exhibit A (which Exhibit A is a part of this Agreement) effective as of the da

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 17, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (C

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTNovember 17, 2016 14219863Text 04698Text 230237246Text Strong Leadership Team with Proven Track Record

Exhibit 99.1 Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTNovember 17, 2016 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with oth

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 14, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (C

Asterias Biotherapeutics Reports Third Quarter Results and Accelerating Enrollment of AST-OPC1 SCiStar Phase 1/2a Study -Study enrollment has recently accelerated, with three patients dosed in past week- -Achievement of enrollment milestone meets req

Exhibit 99.1 Asterias Biotherapeutics Reports Third Quarter Results and Accelerating Enrollment of AST-OPC1 SCiStar Phase 1/2a Study -Study enrollment has recently accelerated, with three patients dosed in past week- -Achievement of enrollment milestone meets requirement for an additional $2.5 million grant payment to Asterias from the California Institute for Regenerative Medicine- -SCiStar inves

Company Name: Asterias Biotherapeutics Inc (ASTB)

Exhibit 99.2 Company Name: Asterias Biotherapeutics Inc (ASTB) Event: Q3 2016 Earnings Conference Call Date: November 14, 2016 Operator: Good day, and welcome to the Asterias Biotherapeutics Q3 Conference Call. Today's conference is being recorded. At this time, I would like to turn the conference over to Doug Sherk. Please go ahead. <> Thank you, Kyle, and good afternoon, everyone. Thank you for

DEVELOPMENT AND MANUFACTURING SERVICES AGREEMENT

EXHIBIT 10.1 Confidential Materials Omitted and Filed Separately with the Securities and Exchange Commission Pursuant to a Request for Confidential Treatment under Rule 24b-2 under the Exchange Act of 1934, as amended. Confidential Portions are marked: [***] FINAL ? EXECUTION COPY DEVELOPMENT AND MANUFACTURING SERVICES AGREEMENT THIS DEVELOPMENT AND MANUFACTURING SERVICES AGREEMENT is made as of A

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC 10-Q 9-30-2016 (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36646 Asterias Biothera

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTOctober 20, 2016 14219863Text 04698Text 230237246Text Strong Leadership Team with Proven Track Record N

Exhibit 99.1 Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTOctober 20, 2016 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with othe

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 20, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Co

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTOctober 2016 14219863Text 04698Text 230237246Text Strong Leadership Team with Proven Track Record Name

Exhibit 99.1 Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE Market: ASTOctober 2016 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other st

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC 8-K 10-12-2016 (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 12, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Co

Asterias Biotherapeutics, Inc. Transferable Warrants to Purchase up to 3,331,128 Shares of Series A Common Stock and the Shares Issuable pursuant to such Warrants

Filed pursuant to Rule 424(b)(3) Registration Statement No. 333-200745 PRELIMINARY PROSPECTUS SUPPLEMENT (To Prospectus dated January 23, 2015 and Prospectus Supplement dated April 11, 2016) Asterias Biotherapeutics, Inc. Transferable Warrants to Purchase up to 3,331,128 Shares of Series A Common Stock and the Shares Issuable pursuant to such Warrants We are extending the expiration date of our wa

AMENDMENT TO WARRANT AGREEMENT Asterias Biotherapeutics, Inc. American Stock Transfer & Trust Company, LLC, as Warrant Agent

EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 AMENDMENT TO WARRANT AGREEMENT Asterias Biotherapeutics, Inc. And American Stock Transfer & Trust Company, LLC, as Warrant Agent This Amendment (the “Amendment”) the Warrant Agreement (as defined below) is made and entered into as of September 19, 2016 by and between Asterias Biotherapeutics, Inc. (the "Company") and American Stock Transfer & Trust Com

Material Modification to Rights of Security Holders, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 19, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 12, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE MKT: ASTSeptember 2016 14219863Text 04698Text 230237246Text Strong Leadership Team with Proven Track Record Name E

Exhibit 99.1 Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE MKT: ASTSeptember 2016 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other sta

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE: ASTAugust 2016 14219863Text 04698Text 230237246Text Strong Leadership Team with Proven Track Record Name Experien

Exhibit 99.1 Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE: ASTAugust 2016 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other statements

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 form8k.htm ASTERIAS BIOTHERAPEUTICS, INC 8-K 8-22-2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 22, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 4

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE: ASTAugust 2016 14219863Text 04698Text 230237246Text Strong Leadership Team with Proven Track Record Name Experien

Exhibit 99.1 Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Neurology and Oncology Asterias Biotherapeutics NYSE: ASTAugust 2016 14219863Text 04698Text 230237246Text Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other statements

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 form8k.htm ASTERIAS BIOTHERAPEUTICS, INC 8-K 8-22-2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 22, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 4

ASTERIAS BIOTHERAPEUTICS Moderator: Steve Cartt August 15, 2016 1:30 pm PT

Exhibit 99.2 ASTERIAS BIOTHERAPEUTICS Moderator: Steve Cartt August 15, 2016 1:30 pm PT Operator: Please stand by. We?re about to begin. Welcome to the Asterias Biotherapeutics Second Quarter 2016 Financial and Operating Results conference call. Today?s conference is being recorded. At this time, I would like to turn the conference over to Mr. Doug Sherk. Please go ahead sir. Doug Sherk: Thank you

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 15, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Com

Asterias Biotherapeutics Reports Second Quarter Results and Highlights Progress of SCiSTAR Study Evaluating AST-OPC1 in Spinal Cord Injury Patients

Exhibit 99.1 Asterias Biotherapeutics Reports Second Quarter Results and Highlights Progress of SCiSTAR Study Evaluating AST-OPC1 in Spinal Cord Injury Patients FREMONT, Calif. – August 15, 2016 – Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a biotechnology company with three clinical-stage development programs focused on the emerging field of regenerative medicine, today reported financial res

2013 EQUITY INCENTIVE PLAN

Exhibit 10.1 2013 EQUITY INCENTIVE PLAN 1. Purpose; Eligibility. 1.1 General Purpose. The name of this plan is the BioTime Acquisition Corporation 2013 Equity Incentive Plan (the ?Plan?). The purposes of the Plan are to (a) enable the Company, to attract and retain the types of Employees, Consultants and Directors who will contribute to the Company?s long range success; (b) provide incentives that

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC. 10-Q 6-30-2016 (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36646 Asterias Biotherapeuti

2013 EQUITY INCENTIVE PLAN

Exhibit 10.1 2013 EQUITY INCENTIVE PLAN 1. Purpose; Eligibility. 1.1 General Purpose. The name of this plan is the BioTime Acquisition Corporation 2013 Equity Incentive Plan (the ?Plan?). The purposes of the Plan are to (a) enable the Company, to attract and retain the types of Employees, Consultants and Directors who will contribute to the Company?s long range success; (b) provide incentives that

Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 3, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Comm

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 9, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commis

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC. S-8 6-13-2016

S-8 1 forms8.htm ASTERIAS BIOTHERAPEUTICS, INC. S-8 6-13-2016 As filed with the Securities and Exchange Commission on June 13, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) DELAWARE 46-1047971 (St

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC DEFA 14A 5-19-2016

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of t

Asterias Biotherapeutics DEF 14A

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant Check the appropriate box: o Preliminary Proxy Statement o Confiden

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC 10-Q 3-31-2016 (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36646 Asterias Biotherapeut

OCX / OncoCyte Corporation / Broadwood Partners LP Activist Investment

SC 13D 1 d7146691sc13d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Asterias Biotherapeutics, Inc. (Name of Issuer) Series A Common Stock, par value $0.0001 per share (Title of Class of Securities) 04624N107 (CUSIP Number) Neal C. Bradsher c/o Broadwood Capital, Inc. 724 Fifth Avenue, 9th Floor New York,

  Asterias Biotherapeutics, Inc. 5,147,059 Shares of Series A Common Stock Warrants to Purchase 2,573,530 Shares of Series A Common Stock

424B5 1 h10036092x2424b5.htm 424B5 TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-200745 PROSPECTUS SUPPLEMENT (To Prospectus dated January 23, 2015)   Asterias Biotherapeutics, Inc. 5,147,059 Shares of Series A Common Stock Warrants to Purchase 2,573,530 Shares of Series A Common Stock We are offering 5,147,059 shares of our Series A Common Stock (the “Shares” ) and warra

FORM OF WARRANT AGREEMENT

Exhibit 4.1 FORM OF WARRANT AGREEMENT THIS WARRANT AGREEMENT (this ?Agreement?), dated as of May , 2016, is entered into by and between Asterias Biotherapeutics, Inc., a Delaware corporation (the ?Company?), and American Stock Transfer and Trust Company LLC (the ?Warrant Agent?). WHEREAS, the Company is engaged in a public offering (the ?Public Offering?) of its Series A common stock, par value $0

5,147,059 Shares * ASTERIAS BIOTHERAPEUTICS, INC. Series A Common Stock and Warrants to Purchase up to 2,573,530 Shares of Series A Common Stock* UNDERWRITING AGREEMENT

Exhibit 1.1 5,147,059 Shares * ASTERIAS BIOTHERAPEUTICS, INC. Series A Common Stock and Warrants to Purchase up to 2,573,530 Shares of Series A Common Stock* UNDERWRITING AGREEMENT St. Petersburg, Florida May 10, 2016 Raymond James & Associates, Inc. As Representative of the Several Underwriters listed on Schedule I hereto 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: As

Asterias Biotherapeutics Announces Proposed Public Offering

Exhibit 99.1 Asterias Biotherapeutics Announces Proposed Public Offering FREMONT, Calif. May 9, 2016 ? Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a biotechnology company with three clinical-stage development programs focused on the emerging field of regenerative medicine, today announced that it intends to offer shares of its common stock and warrants to purchase shares of its common stock in

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 10, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commis

Asterias Biotherapeutics Prices Public Offering of Common Stock and Warrants

Exhibit 99.2 Asterias Biotherapeutics Prices Public Offering of Common Stock and Warrants FREMONT, Calif. May 10, 2016 ? Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a biotechnology company with three clinical-stage development programs focused on the emerging field of regenerative medicine, today announced the pricing of an underwritten public offering of 5,147,059 units at a public offering p

SUBJECT TO COMPLETION, DATED MAY 9, 2016

TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 27, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Comm

Howard I. Scher M.D., Leading Clinical Oncology Expert, Joins the Board of Directors of Asterias Biotherapeutics

Exhibit 99.1 Howard I. Scher M.D., Leading Clinical Oncology Expert, Joins the Board of Directors of Asterias Biotherapeutics FREMONT, Calif. ? April 28, 2016 ? Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a biotechnology company with three clinical-stage development programs focused on the emerging field of regenerative medicine, today announced the appointment of Howard I. Scher M.D., one of

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 11, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Comm

SERIES A WARRANT AGREEMENT Asterias Biotherapeutics, Inc. American Stock Transfer & Trust Company, LLC, as Warrant Agent SERIES A WARRANT AGREEMENT

Exhibit 99.1 SERIES A WARRANT AGREEMENT Asterias Biotherapeutics, Inc. and American Stock Transfer & Trust Company, LLC, as Warrant Agent SERIES A WARRANT AGREEMENT THIS SERIES A WARRANT AGREEMENT (this ? Agreement?), dated as of March 31, 2016 is by and between Asterias Biotherapeutics, Inc., a Delaware corporation (the ? Company?), and American Stock Transfer & Trust Company, LLC, a New York lim

Transferable Warrants to Purchase up to 3,331,483 Shares of Series A Common Stock and the Shares Issuable pursuant to such Warrants

Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-200745 PROSPECTUS SUPPLEMENT (To Prospectus dated January 23, 2015) Transferable Warrants to Purchase up to 3,331,483 Shares of Series A Common Stock and the Shares Issuable pursuant to such Warrants We are distributing, at no charge, to holders of our common stock, except for BioTime, Inc., our majority shareholder, transferable Warr

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC. 8-A12B 4-5-2016

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 46-1047971 (State of incorporation or organization) (IRS Employer Identification No.) 6300 Dumbarton

THE TERMS AND CONDITIONS OF THE WARRANT DISTRIBUTION ARE SET FORTH IN THE COMPANY'S PROSPECTUS DATED _____ __, 2016 (THE "PROSPECTUS") AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM AMERICAN STOCK T

Exhibit 4.2 WARRANT CERTIFICATE #: NUMBER OF WARRANTS THE TERMS AND CONDITIONS OF THE WARRANT DISTRIBUTION ARE SET FORTH IN THE COMPANY'S PROSPECTUS DATED , 2016 (THE "PROSPECTUS") AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC. ASTERIAS BIOTHERAPEUTICS, INC. Incorporated under the laws of the State of

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 5, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commi

Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Oncology and Neurology Asterias Biotherapeutics NYSE: ASTApril 4, 2016 3 Technology Platforms Non-Dilutive Funding via Partnerships AST-VAC1 ? Planning P3 trial in acu

Exhibit 99.1 Clinical-Stage Cell Therapy Programs Addressing Significant Unmet Medical Needs in Oncology and Neurology Asterias Biotherapeutics NYSE: ASTApril 4, 2016 Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other statements about the future expectations, bel

SUBJECT TO COMPLETION, DATED MARCH 31, 2016

Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-200745 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and accompanying prospectus are not offers to sell these securities nor do they solicit an offer to buy these securities in any state where an offer or sale is not permitted. SUBJECT TO COMPLETION

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC 10-K 12-31-2015 (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☐ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36646 Asterias Biotherapeutics,

March 9, 2016

Exhibit 10.35 March 9, 2016 Re: Separation Agreement and Release of All Claims Dear Georgia: 1. This letter will confirm our agreement (“Agreement”) concerning your separation from employment with Asterias Biotherapeutics, Inc. (“Asterias” or “Company”). 2. Your employment with Asterias will terminate on March 10, 2016. (“Separation Date”) Your Employment Agreement will also terminate on your Sepa

EMPLOYMENT AGREEMENT

EX-10.31 2 ex1031.htm EXHIBIT 10.31 Exhibit 10.31 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made as of November 2, 2015 by and between Asterias Biotherapeutics, Inc. (“Asterias”), a Delaware corporation, and Georgia Erbez ("Executive"). 1. Engagement; Position and Duties. a) Asterias agrees to employ Employee in the position described on Exhibit A (which Exhibit A is a part o

Confidential Materials Omitted and Filed Separately with the Securities and Exchange Commission Pursuant to a Request for Confidential Treatment under Rule 24b-2 under the Exchange Act of 1934, as amended. Confidential Portions are marked: [***] AMEN

EX-10.34 5 ex1034.htm EXHIBIT 10.34 Exhibit 10.34 Confidential Materials Omitted and Filed Separately with the Securities and Exchange Commission Pursuant to a Request for Confidential Treatment under Rule 24b-2 under the Exchange Act of 1934, as amended. Confidential Portions are marked: [***] AMENDMENT TO NOTICE OF AWARD – RFA 13-03A - CIRM Strategic Partnership III Track A Awards California Ins

EMPLOYMENT AGREEMENT

Exhibit 10.32 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made as of February 28, 2016 by and between Asterias Biotherapeutics, Inc. (“Asterias”), a Delaware corporation, and Stephen L. Cartt (“Executive”). 1. Engagement; Position and Duties. (a) Asterias agrees to employ Executive in the position described on Exhibit A effective as of the date of this Agreement to and secure h

March 10, 2016

EX-10.33 4 ex1033.htm EXHIBIT 10.33 Exhibit 10.33 March 10, 2016 Pedro Lichtinger Re: Separation Agreement and Release of All Claims Dear Pedro: 1. This letter will confirm our agreement (“Agreement”) concerning your separation from employment with Asterias Biotherapeutics, Inc. (“Asterias” or “Company”). 2. Your employment with Asterias terminated on February 29, 2016 at 12:01am Pacific Time. (“S

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 21, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Comm

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC. 8-K 3-10-2016 (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 10, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Comm

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 14, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Comm

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 2, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 28, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (C

AST / Asterias Biotherapeutics, Inc. / BIOTIME INC - BIOTIME INC SC 13DA NO.4 2-28-2016 (ASTERIAS BIOTHERAPEUTICS, INC) Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) ASTERIAS BIOTHERAPEUTICS, INC. (Name of Issuer) Series A Common Stock, par value $0.0001 per share 04624N 10 7 (Title of class of securities) (CUSIP number) Russell Skibsted Chief Financial Officer BioTime, Inc. 1010 Atlantic Avenue Suite 102 Alameda, California 94501

CROSS LICENSE AGREEMENT

Exhibit 10.1 CROSS LICENSE AGREEMENT between ASTERIAS and BIOTIME and ESI Page i of 50 TABLE OF CONTENTS Recitals 2 Article 1. Definitions 2 Article 2. Grant of Licenses 6 Article 3. Obligations under certain prior agreements 8 Article 4. Consideration 9 Article 5. Patent Matters 9 Article 6. Representations and Warranties 14 Article 7. Term and Termination of License 16 Article 8. Notices 17 Arti

SHARE TRANSFER AGREEMENT BY AND AMONG ASTERIAS BIOTHERAPEUTICS, INC., BIOTIME, INC. ES CELL INTERNATIONAL PTE LTD SHARE TRANSFER AGREEMENT

Exhibit 10.2 SHARE TRANSFER AGREEMENT BY AND AMONG ASTERIAS BIOTHERAPEUTICS, INC., BIOTIME, INC. AND ES CELL INTERNATIONAL PTE LTD SHARE TRANSFER AGREEMENT This SHARE TRANSFER AGREEMENT (the “Agreement”) is entered into on February 16, 2016 (the “Effective Date”) by and among Asterias Biotherapeutics, Inc., a Delaware corporation having a place of business at 6300 Dumbarton Circle, Fremont, CA 945

AST / Asterias Biotherapeutics, Inc. / BIOTIME INC - BIOTIME INC SC 13DA NO.3 2-16-2016 (ASTERIAS BIOTHERAPEUTICS, INC) Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) ASTERIAS BIOTHERAPEUTICS, INC. (Name of Issuer) Series A Common Stock, par value $0.0001 per share 04624N 10 7 (Title of class of securities) (CUSIP number) Russell Skibsted Chief Financial Officer BioTime, Inc. 1010 Atlantic Avenue Suite 102 Alameda, California 94501

SHARE TRANSFER AGREEMENT BY AND AMONG ASTERIAS BIOTHERAPEUTICS, INC., BIOTIME, INC. ES CELL INTERNATIONAL PTE LTD SHARE TRANSFER AGREEMENT

Exhibit 10.2 SHARE TRANSFER AGREEMENT BY AND AMONG ASTERIAS BIOTHERAPEUTICS, INC., BIOTIME, INC. AND ES CELL INTERNATIONAL PTE LTD SHARE TRANSFER AGREEMENT This SHARE TRANSFER AGREEMENT (the ? Agreement?) is entered into on February 16, 2016 (the ? Effective Date?) by and among Asterias Biotherapeutics, Inc., a Delaware corporation having a place of business at 6300 Dumbarton Circle, Fremont, CA 9

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 16, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (C

BioTime and Asterias Sign Share Transfer Agreement and Cross-License Agreement for Pluripotent Stem Cell Related Patents

EX-99.1 4 ex991.htm EXHIBIT 99.1 Exhibit 99.1 BioTime and Asterias Sign Share Transfer Agreement and Cross-License Agreement for Pluripotent Stem Cell Related Patents FREMONT, Calif. & ALAMEDA, Calif.-(BUSINESS WIRE)-Feb. 16, 2016-Asterias Biotherapeutics, Inc. (NYSE MKT: AST) and BioTime, Inc. (NYSE MKT and TASE: BTX), both clinical-stage regenerative medicine companies with a focus on pluripoten

CROSS LICENSE AGREEMENT

Exhibit 10.1 CROSS LICENSE AGREEMENT between ASTERIAS and BIOTIME and ESI Page i of 50 TABLE OF CONTENTS Recitals 2 Article 1. Definitions 2 Article 2. Grant of Licenses 6 Article 3. Obligations under certain prior agreements 8 Article 4. Consideration 9 Article 5. Patent Matters 9 Article 6. Representations and Warranties 14 Article 7. Term and Termination of License 16 Article 8. Notices 17 Arti

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 18, 2016 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Co

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 22, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (C

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 9, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Co

Asterias Biotherapeutics Reports Third Quarter Results Conference Call and Webcast Today, November 9, at 4:30 p.m. ET

Exhibit 99.1 Asterias Biotherapeutics Reports Third Quarter Results Conference Call and Webcast Today, November 9, at 4:30 p.m. ET Menlo Park, Calif. November 9, 2015-Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a biotechnology company focused on the emerging field of regenerative medicine, today reported financial and operating results for the third quarter ended September 30, 2015. “Asterias

GEORGIA ERBEZ APPOINTED CHIEF FINANCIAL OFFICER OF ASTERIAS BIOTHERAPEUTICS Executive Brings Proven Executive Leadership and Financial Acumen to Asterias

EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 GEORGIA ERBEZ APPOINTED CHIEF FINANCIAL OFFICER OF ASTERIAS BIOTHERAPEUTICS Executive Brings Proven Executive Leadership and Financial Acumen to Asterias Menlo Park, Calif. November 2, 2015- Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a biotechnology company focused on the emerging field of regenerative medicine, today announced the appointment of

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 2, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Co

Keith Thompson

Exhibit 10.1 Dated 8th of October 2015 (1) ASTERIAS BIOTHERAPEUTICS INCORPORATED (2) CELL THERAPY CATAPULT SERVICES LIMITED Services Agreement 1 CONTENTS Clause Page 1 INTERPRETATION 3 2 APPOINTMENT 5 3 TERM 5 4 SERVICES 5 5 CUSTOMER?S OBLIGATIONS 6 6 INVOICES AND PAYMENT 6 7 CONFIDENTIAL INFORMATION 8 8 INTELLECTUAL PROPERTY 9 9 STATE AID 10 10 WARRANTIES 11 11 INDEMNITIES 11 12 LIABILITY AND INS

Asterias Biotherapeutics Announces Collaboration with Cell Therapy Catapult to Scale Production of AST-VAC2

Exhibit 99.1 Asterias Biotherapeutics Announces Collaboration with Cell Therapy Catapult to Scale Production of AST-VAC2 Menlo Park, Calif. October 13, 2015-Asterias Biotherapeutics, Inc. (NYSE MKT: AST), has signed an agreement with the UK-based Cell Therapy Catapult to advance development of large scale manufacturing processes for AST-VAC2, Asterias? allogeneic dendritic cell immunotherapy. Unde

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 8, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Com

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC S-8 8-7-2015

As filed with the Securities and Exchange Commission on August 7, 2015 Registration No.

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 9, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commis

Filed Pursuant to Rule 424(b)(5) Registration No. 333-204441 33,684,980 Shares of Series A Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-204441 PROSPECTUS 33,684,980 Shares of Series A Common Stock This prospectus relates to the resale from time to time by the selling stockholders named in this prospectus of up to 33,684,980 shares of our Series A Common Stock, par value $0.0001 per share (the "Series A Shares"), including Series A Shares issuable upon exercise of outstanding wa

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS INC DEFA 14A 6-10-2015

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of t

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS INC DEF 14A 7-9-2015

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of t

Asterias Biotherapeutics ESP

230 Constitution Drive Menlo Park, CA 94025 (650) 433-2900 June 9, 2015 Via EDGAR Mr.

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 3, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commis

ASCO May 30, 2015 1 Long-term Follow-up of Patients with Acute Myelogenous Leukemia Receiving an Autologous Telomerase-based Dendritic Cell VaccineH. Jean Khoury, MD, FACP, Robert H. Collins Jr., MD, William Blum, MD, Patrick Stiff, MD, Jane S Lebkow

Exhibit 99.2 ASCO May 30, 2015 1 Long-term Follow-up of Patients with Acute Myelogenous Leukemia Receiving an Autologous Telomerase-based Dendritic Cell VaccineH. Jean Khoury, MD, FACP, Robert H. Collins Jr., MD, William Blum, MD, Patrick Stiff, MD, Jane S Lebkowski, PhD, Edward Wirth III, MD PhD, Kevin Nishimoto PhD and John F. DiPersio, MD, PhD AST-VAC1: Autologous Dendritic Cells Pulsed with hT

Asterias Biotherapeutics(NYSE MKT: AST) Proprietary Regenerative Medicine Platforms to Address Significant Unmet Medical Needs Forward Looking Statements Statements pertaining to future financial and/or operating results, future growth in research, t

Exhibit 99.1 Asterias Biotherapeutics(NYSE MKT: AST) Proprietary Regenerative Medicine Platforms to Address Significant Unmet Medical Needs Forward Looking Statements Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other statements about the future expectations, bel

AST / Asterias Biotherapeutics, Inc. / BIOTIME INC - BIOTIME, INC SC 13D A NO 2 5-21-2015 (ASTERIAS BIOTHERAPEUTICS, INC.) Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) ASTERIAS BIOTHERAPEUTICS, INC. (Name of Issuer) Series A Common Stock, par value $0.0001 per share 04624N 10 7 (Title of class of securities) (CUSIP number) Robert W. Peabody Senior Vice President and Chief Financial Officer BioTime, Inc. 1301 Harbor Bay Parkway Alamed

Asterias Biotherapeutics 8-K (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 21, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Commis

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC. S-3 5-26-2015

As filed with the U.S. Securities and Exchange Commission on May 26, 2015 Registration No. 333- [ ] UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASTERIAS BIOTHERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 46-1047971 (State or Other Jurisdiction of Incorporation) (I.R.S. Em

Asterias Biotherapeutics Receives $11.7 Million in Proceeds from Exercise of Warrants

Exhibit 99.1 Asterias Biotherapeutics Receives $11.7 Million in Proceeds from Exercise of Warrants Menlo Park, Calif. May 26, 2015 ? Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a biotechnology company focused on the emerging field of regenerative medicine, today announced that all outstanding common share purchase warrants originally issued in June 2014 were exercised prior to their expiry on

Asterias Biotherapeutics Announces Availability of Abstract with Phase 2 Clinical Data on Cancer Vaccine AST-VAC1 in Acute Myelogenous Leukemia (AML) Data to be Featured in Oral Presentation at the 2015 American Society of Clinical Oncology (ASCO) An

Exhibit 99.1 Asterias Biotherapeutics Announces Availability of Abstract with Phase 2 Clinical Data on Cancer Vaccine AST-VAC1 in Acute Myelogenous Leukemia (AML) Data to be Featured in Oral Presentation at the 2015 American Society of Clinical Oncology (ASCO) Annual Meeting Menlo Park, Calif. May 14, 2015-Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a biotechnology company focused on the emerg

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 14, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commis

AST-OPC1 Development Program for Spinal Cord Injury Asterias Biotherapeutics Inc. NYSE MKT: ASTInvestor DayMay 8, 2015 * Forward Looking Statements Statements pertaining to future financial and/or operating results, future growth in research, technol

Exhibit 99.1 AST-OPC1 Development Program for Spinal Cord Injury Asterias Biotherapeutics Inc. NYSE MKT: ASTInvestor DayMay 8, 2015 * Forward Looking Statements Statements pertaining to future financial and/or operating results, future growth in research, technology, clinical development, and potential opportunities for Asterias, along with other statements about the future expectations, beliefs,

Future Clinical Development Plan forAST-OPC1 Edward Wirth, III, M.D., Ph.D. Chief Medical Officer Investor DayMay 8, 2015 * Work of the SCOPE Consortium Has Defined Clinical Development Path in Complete Cervical Spinal Cord Injury * Target Product Pr

Exhibit 99.3 Future Clinical Development Plan forAST-OPC1 Edward Wirth, III, M.D., Ph.D. Chief Medical Officer Investor DayMay 8, 2015 * Work of the SCOPE Consortium Has Defined Clinical Development Path in Complete Cervical Spinal Cord Injury * Target Product Profile for AST-OPC1 in Complete Cervical SCI: Increase of ?20% in the percentage of patients regaining two or motor levels of function Ena

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 8, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commiss

Design, Objectives, and Status ofAsterias’ Current Spinal Cord InjuryClinical Trial Edward Wirth, III, M.D., Ph.D. Chief Medical Officer Investor DayMay 8, 2015 * AST-OPC1: Phase 1 Safety Study in Complete Thoracic SCI * MRI MRI MRI MRI MRI MRI MRI M

Exhibit 99.2 Design, Objectives, and Status ofAsterias? Current Spinal Cord InjuryClinical Trial Edward Wirth, III, M.D., Ph.D. Chief Medical Officer Investor DayMay 8, 2015 * AST-OPC1: Phase 1 Safety Study in Complete Thoracic SCI * MRI MRI MRI MRI MRI MRI MRI MRI MRI MRI Primary Assessment: SafetySecondary Assessment: ISNCSCI examsExploratory AssessmentsUAB-IMRSCIMSCI Pain Basic Data SetBowel an

Asterias Biotherapeutics Reports First Quarter Results Conference Call and Webcast Today, May 7, at 4:30 p.m. ET Asterias to Host Investor Meeting Tomorrow, May 8, to Review AST-OPC1 Clinical Development Strategy for Spinal Cord Injury

Exhibit 99.1 Asterias Biotherapeutics Reports First Quarter Results Conference Call and Webcast Today, May 7, at 4:30 p.m. ET Asterias to Host Investor Meeting Tomorrow, May 8, to Review AST-OPC1 Clinical Development Strategy for Spinal Cord Injury Menlo Park, Calif. May 7, 2015-Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a leading biotechnology company in the emerging field of regenerative me

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 7, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commiss

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC 8-K 4-10-2015 (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 10, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Comm

ASTERIAS BIOTHERAPEUTICS, INC. Common Stock (par value $0.0001 per share) At Market Issuance Sales Agreement

Exhibit 10.1 ASTERIAS BIOTHERAPEUTICS, INC. Common Stock (par value $0.0001 per share) At Market Issuance Sales Agreement April 10, 2015 MLV & Co. LLC 1301 Avenue of the Americas 43 rd Floor New York, New York 10019 Ladies and Gentlemen: Asterias Biotherapeutics, Inc., a Delaware corporation (the ? Company?), confirms its agreement (this ? Agreement?), with MLV & Co. LLC (? MLV?), as follows: 1. I

$20,000,000 Series A Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-200745 PROSPECTUS SUPPLEMENT (To Prospectus dated January 23, 2015) $20,000,000 Series A Common Stock We have entered into an at market issuance sales agreement, or sales agreement, with MLV & Co. LLC, or MLV, relating to shares of our Series A Common Stock (the "Series A Shares") offered by this prospectus supplement and the accompanying prosp

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC. S-8 3-11-2015

As filed with the Securities and Exchange Commission on March 11, 2015 Registration No.

Asterias Biotherapeutics ASTERIAS BIOTHERAPEUTICS, INC 8-K 3-10-2015 (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 10, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Comm

Asterias Biotherapeutics Reports Fourth Quarter and Full Year 2014 Financial and Operating Results AST-OPC1 Phase 1/2a Trial in Spinal Cord Injury Initiated in March Conference Call and Webcast Today, March 10, at 4:30 p.m. ET

Exhibit 99.1 Asterias Biotherapeutics Reports Fourth Quarter and Full Year 2014 Financial and Operating Results AST-OPC1 Phase 1/2a Trial in Spinal Cord Injury Initiated in March Conference Call and Webcast Today, March 10, at 4:30 p.m. ET Menlo Park, Calif. March 10, 2015-Asterias Biotherapeutics, Inc. (NYSE MKT: AST), a leading biotechnology company in the emerging field of regenerative medicine

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 13, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (C

Asterias Biotherapeutics Prices Public Offering of Common Stock

EX-99.2 5 ex992.htm EXHIBIT 99.2 Exhibit 99.2 Asterias Biotherapeutics Prices Public Offering of Common Stock Menlo Park, Calif. February 5, 2015-Asterias Biotherapeutics, Inc. (NYSE MKT: AST) (the “Company”), a leading biotechnology company in the emerging field of regenerative medicine, today announced today that it has priced an underwritten public offering of its common stock at a price of $3.

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 4, 2015 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36646 46-1047971 (State or other jurisdiction of incorporation) (Co

SUBSCRIPTION AGREEMENT

Exhibit 99.1 SUBSCRIPTION AGREEMENT THIS SUBSCRIPTION AGREEMENT (this “Agreement”) is made as of February 4, 2015 by and between Asterias Biotherapeutics, Inc., a Delaware corporation (the “Company”), and the investor listed on Schedule A hereto (each, an “Investor” and together, the “Investors”). AGREEMENT In consideration for the mutual promises and covenants herein, the parties agree as follows

ASTERIAS BIOTHERAPEUTICS, INC. 384,615 Shares of Common Stock UNDERWRITING AGREEMENT

Exhibit 1.1 ASTERIAS BIOTHERAPEUTICS, INC. 384,615 Shares of Common Stock UNDERWRITING AGREEMENT February 5, 2015 MLV & Co. LLC 1251 Avenue of the Americas, 41st Floor New York, NY 10020 Ladies and Gentlemen: Asterias Biotherapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to M

This Prospectus Supplement No. 2 is being filed solely to correct typographical errors which appeared in Prospectus Supplement No. 1, dated February 5, 2015, to the Prospectus, dated January 23, 2015, contained in the Registration Statement on Form S

424B5 1 form424b5.htm ASTERIAS BIOTHERAPEUTICS, INC 424B5 2-5-2015 Filed Pursuant to Rule 424(b)(5) Registration No. 333-200745 PROSPECTUS SUPPLEMENT No. 2 (To Prospectus dated January 23, 2015) This Prospectus Supplement No. 2 is being filed solely to correct typographical errors which appeared in Prospectus Supplement No. 1, dated February 5, 2015, to the Prospectus, dated January 23, 2015, cont

384,615 Shares of Series A Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-200745 PROSPECTUS SUPPLEMENT (To Prospectus dated January 23, 2015) 384,615 Shares of Series A Common Stock We are offering 384,615 shares of our Series A Common Stock (the "Series A Shares"). Our Series A Shares are listed on the NYSE MKT LLC under the trading symbol "AST." On February 4, 2015, the last reported sale price of our Series A Shar

SUBJECT TO COMPLETION, DATED FEBRUARY , 2015

424B5 1 form424b5.htm ASTERIAS BIOTHERAPEUTICS, INC 424B5 2-4-2015 Filed Pursuant to Rule 424(b)(5) Registration No. 333-200745 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and accompanying prospectus are not offers to sell these securities nor do they solicit an offer to buy these securities in any state where

AST / Asterias Biotherapeutics, Inc. CORRESP - -

CORRESP 1 filename1.htm January 22, 2015 Via EDGAR Mr. Preston Brewer Attorney-Adviser U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Re: Asterias Biotherapeutics, Inc. Registration Statement on Form S-3 File No. 333-200745 Acceleration Request Requested Date: January 22, 2015 Requested Time: 5:00 P.M. Eastern Time Dear Mr. Brewer

OCX / OncoCyte Corporation / Scarsdale Equities LLC - AMENDED SCHEDULE 13G Passive Investment

SC 13G/A 1 sc13g1214a2scarsdasterias.htm AMENDED SCHEDULE 13G SCHEDULE 13G/A CUSIP NO. 04624N107 PAGE 1 OF 5 PAGES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* Asterias Biotherapeutics, Inc. (Name of Issuer) Series A Common Stock, $0.0001 par value (Title of Class of Securities) 04624N107 (CUSIP Nu

AST / Asterias Biotherapeutics, Inc. S-3 - - ASTERIAS BIOTHERAPEUTICS, INC S-3 12-4-2014

S-3 1 forms3.htm ASTERIAS BIOTHERAPEUTICS, INC S-3 12-4-2014 As filed with the U.S. Securities and Exchange Commission on December 4, 2014 Registration No. 333- [ ] UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASTERIAS BIOTHERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 46-

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 form8k.htm ASTERIAS BIOTHERAPEUTICS, INC 8-K 10-16-2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 16, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046

Asterias Biotherapeutics Announces Notice of Grant Award with CIRM for Phase 1/2a Clinical Trial of AST-OPC1 in Complete Cervical Spinal Cord Injury

Exhibit 99.1 Asterias Biotherapeutics Announces Notice of Grant Award with CIRM for Phase 1/2a Clinical Trial of AST-OPC1 in Complete Cervical Spinal Cord Injury Provides for Immediate Release of Initial Grant Funds Menlo Park, Calif., Oct. 20, 2014 /PRNewswire/ - Asterias Biotherapeutics, Inc. (NYSE MKT: AST) announced today that the Company has signed a Notice of Grant Award (NGA) with the Calif

Financial Statements and Exhibits, Other Events

8-K 1 a50952191.htm ASTERIAS BIOTHERAPEUTICS, INC. 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 29, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1

Asterias Biotherapeutics Announces Distribution Date of BioTime Warrants and Conversion Date of Series B Common Stock into Series A Common Stock Applies for Listing on the NYSE MKT

EX-99.1 2 a50952191ex991.htm EXHIBIT 99.1 Exhibit 99.1 Asterias Biotherapeutics Announces Distribution Date of BioTime Warrants and Conversion Date of Series B Common Stock into Series A Common Stock Applies for Listing on the NYSE MKT MENLO PARK, Calif.-(BUSINESS WIRE)-September 29, 2014-Asterias Biotherapeutics, Inc. (OTCBB: ASTY) announced today that on October 1, 2014 the company will distribu

AST / Asterias Biotherapeutics, Inc. 8-A12B - - ASTERIAS BIOTHERAPEUTICS, INC. 8-A12B 9-26-2014

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 46-1047971 (State of incorporation or organization) (I.R.S. Employer Identification No.) 230 Constitut

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 8, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (C

Cancer Research UK, Cancer Research Technology And Asterias Biotherapeutics Partner To Trial Immunotherapy Vaccine For Lung Cancer

Exhibit 99.1 Cancer Research UK, Cancer Research Technology And Asterias Biotherapeutics Partner To Trial Immunotherapy Vaccine For Lung Cancer -Conference Call and Webcast on September 12, 2014 at 8:30 a.m. ET, 5:30 a.m. PT- MENLO PARK, Calif. and LONDON, Sept. 11, 2014 /PRNewswire/ - CANCER RESEARCH UK and Cancer Research Technology (CRT), the charity's development and commercialisation arm, hav

Asterias Biotherapeutics Announces Record Date for Distribution of BioTime Warrants to Holders of Asterias Series A Common Stock

Asterias Biotherapeutics Announces Record Date for Distribution of BioTime Warrants to Holders of Asterias Series A Common Stock MENLO PARK, Calif.

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 2, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (C

OCX / OncoCyte Corporation / Scarsdale Equities LLC - FORM SC 13G/A Passive Investment

SC 13G/A 1 v388239sc13ga.htm FORM SC 13G/A SCHEDULE 13G CUSIP NO. 04624N107 PAGE 1 OF 5 PAGES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Asterias Biotherapeutics, Inc. (Name of Issuer) Series A Common Stock, $0.0001 par value (Title of Class of Securities) 04624N107 (CUSIP Number) August 22, 2014

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 21, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Com

AMENDMENT OF BYLAWS ASTERIAS BIOTHERAPEUTICS, INC. Adopted August 19, 2014

Exhibit 3.1 AMENDMENT OF BYLAWS OF ASTERIAS BIOTHERAPEUTICS, INC. Adopted August 19, 2014 Section 2 and Section 4 of Article III of the Bylaws are amended in their entirety to read as follows: “ARTICLE III Directors Section 2. Number and Qualification of Directors. The authorized number of directors shall be not less than three (3) and the exact number of directors shall be fixed by approval of th

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 19, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commission File N

BTX / BioTime, Inc. / Asterias Biotherapeutics, Inc. - ASTERIAS BIOTHERAPEUTICS, INC. SC 13D A NO 1 6-16-2014 (BIOTIME, INC.) Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) BIOTIME, INC. (Name of Issuer) Common Shares, no par value 09066L105 (Title of class of securities) (CUSIP number) Robert W. Peabody Chief Financial Officer Asterias Biotherapeutics, Inc. 230 Constitution Drive Menlo Park, California 94025 (650) 433-2900 (Name, address

AST / Asterias Biotherapeutics, Inc. / GERON CORP - AMENDMENT TO SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Asterias Biotherapeutics, Inc. (Name of Issuer) Series A Common Stock, par value $0.0001 per share (Title of Class of Securities) 04624N 107 (CUSIP Number) Geron Corporation Olivia K. Bloom Executive Vice President, Finance, Chief Financial Officer and

OCX / OncoCyte Corporation / Scarsdale Equities LLC - SC 13G Passive Investment

SCHEDULE 13G CUSIP NO. 04624N107 PAGE 1 OF 5 PAGES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* Asterias Biotherapeutics, Inc. (Name of Issuer) Series A Common Stock, $0.0001 par value (Title of Class of Securities) 04624N107 (CUSIP Number) August 13, 2014 (Date of Event Which Requires Filing of thi

Asterias Biotherapeutics Announces Live Investor Webcast

Exhibit 99.1 Asterias Biotherapeutics Announces Live Investor Webcast - Tuesday, July 29, 2014, at 4:30 p.m. EDT, 1:30 p.m. PDT - MENLO PARK, Calif., July 24, 2014 /PRNewswire/ - Asterias Biotherapeutics, Inc. (OTCBB: ASTYV), a leading biotechnology company in the emerging field of regenerative medicine, announced today that it will host a live webcast of a presentation to investors on Tuesday, Ju

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 24, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commi

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 18, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commi

AST / Asterias Biotherapeutics, Inc. DEFA14C - - ASTERIAS BIOTHERAPEUTICS INC DEFA 14C 7-9-2014

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Proxy Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) o Definitive Information Statement x Definitive Additional Mater

July 7, 2014

Exhibit 16.1 July 7, 2014 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Ladies and Gentlemen: We have read Asterias Biotherapeutics, Inc.’s statements included under Item 4.01 of its Form 8-K dated June 30, 2014, and are in agreement with the statements contained therein concerning our Firm in response to Item 304(a) of Regulation S-K. Very truly yours, /s/Roths

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 30, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commi

ASTERIAS BIOTHERAPEUTICS, INC. 6,537,779 Shares of Series A Common Stock

424B3 1 form424b3.htm ASTERIAS BIOTHERAPEUTICS, INC 424B3 6-26-2014 As filed pursuant to Rule 424(b)(3) Registration No. 333- 187706 PROSPECTUS ASTERIAS BIOTHERAPEUTICS, INC. 6,537,779 Shares of Series A Common Stock This prospectus relates to 6,537,779 shares of our Series A common stock, par value $0.0001 per share (“Series A Shares”), to be distributed by Geron Corporation (“Geron”) to its stoc

- ASTERIAS BIOTHERAPEUTICS, INC DEF-14C 7-18-2014

DEF 14C 1 formdef14c.htm ASTERIAS BIOTHERAPEUTICS, INC DEF-14C 7-18-2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Proxy Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-

Warrant Agreement Dated as of June 16, 2014

Exhibit 4.7 Warrant Agreement Dated as of June 16, 2014 WARRANT AGREEMENT, (this “Agreement”) dated as of June 16, 2014, by Asterias Biotherapeutics, Inc., a Delaware corporation (the "Company"), for the benefit of each registered holder of a Warrant described herein (a “Holder”). Section 1. Issuance of Warrants. 1.1 Number of Warrants; Expiration Date. The Company is issuing common share purchase

REGISTRATION RIGHTS AGREEMENT

Exhibit 10.22 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT, dated as of June 16, 2014, is made by and among Asterias Biotherapeutics, Inc., a Delaware corporation (the “Company”), and each Shareholder (as defined below) who is the registered holder of Registrable Securities (as defined below). WHEREAS, the parties hereto desire to provide for, among other things, the grant of r

PURCHASE AGREEMENT ASTERIAS BIOTHERAPEUTICS, INC. 4,000,000 BioTime Inc. Common Shares 4,000,000 Asterias Series B Common Stock Purchase Warrants Total Purchase Price $10,000,000 READ THIS AGREEMENT CAREFULLY BEFORE YOU INVEST

Exhibit 10.21 PURCHASE AGREEMENT ASTERIAS BIOTHERAPEUTICS, INC. 4,000,000 BioTime Inc. Common Shares and 4,000,000 Asterias Series B Common Stock Purchase Warrants Total Purchase Price $10,000,000 READ THIS AGREEMENT CAREFULLY BEFORE YOU INVEST The Asterias Common Stock Purchase Warrants (“Warrants”), and the shares of Asterias Series B Common Stock issuable upon the exercise of the Warrants (“War

EMPLOYMENT AGREEMENT

EX-10.18 4 ex1018.htm EXHIBIT 10.18 Exhibit 10.18 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is made as of June 9, 2014 by and between Asterias Biotherapeutics, Inc. (“Asterias”), a Delaware corporation, and Pedro Lichtinger ("Executive"). 1. Engagement; Position and Duties. (a) Asterias agrees to employ Executive in the position described on Exhibit A (which Exhibit A is a part

STOCK PURCHASE AGREEMENT ASTERIAS BIOTHERAPEUTICS, INC. READ THIS AGREEMENT CAREFULLY BEFORE YOU INVEST

Exhibit 10.19 STOCK PURCHASE AGREEMENT ASTERIAS BIOTHERAPEUTICS, INC. READ THIS AGREEMENT CAREFULLY BEFORE YOU INVEST The shares of Series B Common Stock, par value $0.0001 per shares (“Shares”), have not been registered under the Securities Act of 1933, as amended, or applicable state securities laws and may not be offered for sale, sold, transferred, pledged or hypothecated to any person in the

- ASTERIAS BIOTHERAPEUTICS, INC POS AM NO 4 6-19-2014

As filed with the Securities and Exchange Commission on June 19, 2014 Registration No.

PURCHASE AGREEMENT ASTERIAS BIOTHERAPEUTICS, INC. 1,000,000 BioTime Inc. Common Shares 1,000,000 Asterias Series B Common Stock Purchase Warrants Total Purchase Price $2,500,000 READ THIS AGREEMENT CAREFULLY BEFORE YOU INVEST

Exhibit 10.20 PURCHASE AGREEMENT ASTERIAS BIOTHERAPEUTICS, INC. 1,000,000 BioTime Inc. Common Shares with 1,000,000 Asterias Series B Common Stock Purchase Warrants Total Purchase Price $2,500,000 READ THIS AGREEMENT CAREFULLY BEFORE YOU INVEST The Asterias Common Stock Purchase Warrants (“Warrants”), and the shares of Asterias Series B Common Stock issuable upon the exercise of the Warrants (“War

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities - ASTERIAS BIOTHERAPEUTICS, INC. 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 13, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commi

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities - ASTERIAS BIOTHERAPEUTICS, INC. 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 12, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities - ASTERIAS BIOTHERAPEUTICS, INC. 8-K

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 9, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commission File Numb

- ASTERIAS BIOTHERAPEUTICS, INC PRE-14C 7-18-2014

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Proxy Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: x Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) o Definitive Information Statement Asterias Biotherapeutics, Inc

- ASTERIAS BIOTHERAPEUTICS, INC RW 6-2-2014

230 Constitution Drive Menlo Park, CA 94025 (650) 433-2900 June 2, 2014 Securities and Exchange Commission 100 F Street, NE Washington, D.

ASTERIAS BIOTHERAPEUTICS, INC. 6,537,779 Shares of Series A Common Stock

As filed pursuant to Rule 424(b)(3) Registration No. 333- 187706 PROSPECTUS ASTERIAS BIOTHERAPEUTICS, INC. 6,537,779 Shares of Series A Common Stock This prospectus relates to 6,537,779 shares of our Series A common stock, par value $0.0001 per share (“Series A Shares”), to be distributed by Geron Corporation (“Geron”) to its stockholders, on a pro rata basis (the “Series A Distribution”), subject

Financial Statements and Exhibits, Other Events - ASTERIAS BIOTHERAPEUTICS, INC. 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 29, 2014 Asterias Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-55046 46-1047971 (State or other jurisdiction of incorporation) (Commis

BioTime's Subsidiary Asterias Biotherapeutics, Inc. Announces a $14.3 Million Strategic Partnership Award from the California Institute for Regenerative Medicine

Exhibit 99.1 BioTime's Subsidiary Asterias Biotherapeutics, Inc. Announces a $14.3 Million Strategic Partnership Award from the California Institute for Regenerative Medicine Award Supports Phase 1/2a Dose Escalation Clinical Trial of AST-OPC1 in Cervical Spinal Cord Injury Funding Provides for the Expansion of AST-OPC1 Clinical Trial Originally Initiated by Geron Corporation into Target Populatio

BioTime’s Subsidiary Asterias Biotherapeutics, Inc. Settles Patent Interference Proceedings

Exhibit 99.1 BioTime’s Subsidiary Asterias Biotherapeutics, Inc. Settles Patent Interference Proceedings MENLO PARK, Calif. & ALAMEDA, Calif.-(BUSINESS WIRE)-May 28, 2014-BioTime, Inc. (NYSE MKT: BTX) and its subsidiary Asterias Biotherapeutics, Inc. (“Asterias”), announced that Asterias has entered into a settlement agreement with ViaCyte, Inc. (“ViaCyte”) concerning certain litigation in the Uni

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