Purchase
PURA VIDA INVESTMENTS, LLC 10 percent owner 10 percent owner
Common Stock 767,952 $1.33 $1,023,680 Purchase
PURA VIDA INVESTMENTS, LLC 10 percent owner 10 percent owner
Common Stock 57,630 $1.26 $72,614 Purchase
PURA VIDA INVESTMENTS, LLC 10 percent owner 10 percent owner
Common Stock 19,210 $1.23 $23,571 Purchase
PURA VIDA INVESTMENTS, LLC 10 percent owner 10 percent owner
Common Stock 1,916,419 $1.33 $2,554,587 Purchase
PURA VIDA INVESTMENTS, LLC 10 percent owner 10 percent owner
Common Stock 92,370 $1.26 $116,386 Purchase
PURA VIDA INVESTMENTS, LLC 10 percent owner 10 percent owner
Common Stock 30,790 $1.23 $37,779 Purchase
PURA VIDA INVESTMENTS, LLC 10 percent owner 10 percent owner
Common Stock 1,665,898 $1.33 $2,220,642 Purchase
ROSS DOUGLAS T. officer: Chief Scientific Officer officer: Chief Scientific Officer
Common Stock, no par value 15,000 $1.4 $21,000 Purchase
PAULSEN GISELA officer: Chief Operating Officer officer: Chief Operating Officer
Common Stock, no par value 16,500 $1.2 $19,767 Purchase
ANDREWS RONALD ASBURY director, officer: Chief Executive O.. director, officer: Chief Execut..
Common Stock, no par value 50,000 $1.28 $64,150 Purchase
REDMOND CAVAN M. director director
Common Stock, no par value 40,000 $1.19 $47,560 Purchase
LEVINE MITCHELL S officer: Chief Financial Officer officer: Chief Financial Officer
Common Stock, no par value 25,000 $1.17 $29,150 Option
ANDREWS RONALD ASBURY director, officer: Chief Executive O.. director, officer: Chief Execut..
Common Stock, no par value 65,000 N/A N/A Option
ANDREWS RONALD ASBURY director, officer: Chief Executive O.. director, officer: Chief Execut..
Restricted Stock Units 65,000 N/A N/A Option
ANDREWS RONALD ASBURY director, officer: Chief Executive O.. director, officer: Chief Execut..
Common Stock, no par value 106,221 N/A N/A Option
ANDREWS RONALD ASBURY director, officer: Chief Executive O.. director, officer: Chief Execut..
Restricted Stock Units 106,221 N/A N/A Option
LEVINE MITCHELL S officer: CFO officer: CFO
Common Shares, no par value 20,000 N/A N/A Option
LEVINE MITCHELL S officer: CFO officer: CFO
Restricted Stock Units 20,000 N/A N/A Purchase
ANDREWS RONALD ASBURY director, officer: Chief Executive O.. director, officer: Chief Execut..
Common Stock, no par value 11,000 N/A N/A Purchase
BROADWOOD PARTNERS, L.P. 10 percent owner 10 percent owner
Common Stock, no par value 600,000 $4.5 $2,700,000 Purchase
BROADWOOD PARTNERS, L.P. 10 percent owner 10 percent owner
Common Stock, no par value 1,460,280 $3.42 $4,999,999 Option
KINGSLEY ALFRED D director director
Common Stock, no par value 65,271 $1.34 $87,463 Option
KINGSLEY ALFRED D director director
Option to purchase common stock 65,271 $1.34 $87,463 Option
KINGSLEY ALFRED D director director
Common Stock, no par value 1,237 $1.34 $1,658 Sale
KINGSLEY ALFRED D director director
Common Stock, no par value 900 $2.55 $2,295 Option
KINGSLEY ALFRED D director director
Option to purchase common stock 1,237 $1.34 $1,658 Option
KINGSLEY ALFRED D director director
Common Stock, no par value 10,516 $1.34 $14,091 Sale
KINGSLEY ALFRED D director director
Common Stock, no par value 7,652 N/A N/A Option
KINGSLEY ALFRED D director director
Option to purchase common stock 10,516 $1.34 $14,091 Sale
KINGSLEY ALFRED D director director
Common Stock, no par value 35,148 $1.27 $44,638 Option
KINGSLEY ALFRED D director director
Common Stock, no par value 47,976 $1.34 $64,288 Sale
KINGSLEY ALFRED D director director
Common Stock, no par value 35,148 $1.27 $44,638 Option
KINGSLEY ALFRED D director director
Option to purchase common stock 47,976 $1.34 $64,288 Purchase
LEVINE MITCHELL S officer: CFO officer: CFO
Common Stock 10,000 N/A N/A Purchase
PARKER ALBERT P officer: COO officer: COO
Common Stock, no par value 5,000 $1.33 $6,650 Purchase
KALAJIAN TONY T officer: Sr.VP/Chief Accounting Officer officer: Sr.VP/Chief Accounting..
Common Stock, no par value 5,000 N/A N/A Purchase
LEVINE MITCHELL S officer: CFO officer: CFO
Common Stock, no par value 10,000 $1.32 $13,200 Purchase
ANDREWS RONALD ASBURY director, officer: Chief Executive O.. director, officer: Chief Execut..
Common Stock, no par value 40,000 $1.35 $53,880 Purchase
BROADWOOD PARTNERS, L.P. 10 percent owner 10 percent owner
Common Stock, no par value 1,050,000 $2.27 $2,383,500 Purchase
ANDREWS RONALD ASBURY director, officer: Chief Executive O.. director, officer: Chief Execut..
Common Stock, no par value 18,000 $2,372 $42,696,000 Purchase
ANDREWS RONALD ASBURY director, officer: Chief Executive O.. director, officer: Chief Execut..
Common Stock, no par value 27,216 $2.26 $61,454 Option
LEVINE MITCHELL S officer: CFO officer: CFO
Restricted Stock Units 20,000 N/A N/A Option
LEVINE MITCHELL S officer: CFO officer: CFO
Common Shares, no par value 20,000 N/A N/A Purchase
BROADWOOD PARTNERS, L.P. 10 percent owner 10 percent owner
Common Stock, no par value 1,391,466 $2.16 $3,000,001 Sale
LINEAGE CELL THERAPEUTICS, INC. other: Previous 10% Owner other: Previous 10% Owner
Common Stock, no par value 2,383,090 $2.16 $5,137,942 Purchase
BROADWOOD PARTNERS, L.P. 10 percent owner 10 percent owner
Common Stock, no par value 1,176,471 N/A N/A Purchase
ARNO ANDREW director director
Common Stock, no par value 50,000 $2.16 $108,150 Purchase
KALAJIAN TONY T officer: Sr.VP/Chief Accounting Officer officer: Sr.VP/Chief Accounting..
Common Stock, no par value 10,000 $1.98 $19,800 Purchase
LEVINE MITCHELL S officer: CFO officer: CFO
Common Stock, no par value 10,000 $2.01 $20,060 Purchase
LEVINE MITCHELL S officer: CFO officer: CFO
Common Stock 10,000 $2.01 $20,060