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SEC Filings

10-K/A
BIOTIME INC filed this Form 10-K/A on 03/29/2017
Entire Document
 

ASTERIAS BIOTHERAPEUTICS, INC.
STATEMENT OF STOCKHOLDERS’ EQUITY
(IN THOUSANDS)

   
Common Stock
   
Additional
   
Accumulated
Other
Comprehensive
             
   
Series A
   
Series B
   
Paid-In
   
Income
   
Accumulated
   
Stockholders’
 
   
Shares
   
Amount
   
Shares
   
Amount
   
Capital
   
(Loss)
   
Deficit
   
Equity
 
Balance as of December 31, 2013
   
6,538
   
$
1
     
23,961
   
$
2
   
$
79,851
   
$
(2,935
)
 
$
(23,139
)
 
$
53,780
 
Common stock issued to officer at $2.34 per share
   
     
     
200
     
     
468
     
     
     
468
 
Sale of BioTime shares
   
     
     
     
     
(10,366
)
   
     
     
(10,366
)
Stock-based compensation expense
   
     
     
     
     
1,580
     
     
     
1,580
 
Restricted stock granted for compensation at $2.34 per share
   
     
     
200
     
     
234
     
     
     
234
 
Warrants issued to outside investors as part of the sale of 5,000,000 BioTime shares
   
     
     
     
     
3,184
     
     
     
3,184
 
Series B converted to Series A on October 3, 2014
   
24,361
     
2
     
(24,361
)
   
(2
)
   
     
     
     
 
Issuance of common stock upon exercise of stock options
   
3
     
     
     
     
8
     
     
     
8
 
Deferred tax liability adjustment on BioTime shares
   
     
     
     
     
(8,592
)
   
     
     
(8,592
)
Unrealized gain on available-for-sale securities, net of taxes
   
     
     
     
     
     
2,432
     
     
2,432
 
Net loss
   
     
     
     
     
     
     
(10,097
)
   
(10,097
)
Balance as of December 31, 2014
   
30,902
     
3
     
     
     
66,367
     
(503
)
   
(33,236
)
   
32,631
 
Stock-based compensation
   
145
     
     
     
     
3,625
     
     
     
3,625
 
Shares retired to pay employee taxes
   
(24
)
   
     
     
     
(98
)
   
     
     
(98
)
Unrealized gain on available-for-sale securities, net of deferred tax liability
   
     
     
     
     
     
937
     
     
937
 
Sale of common stock under at-the-market transactions
   
686
     
     
     
     
4,839
     
     
     
4,839
 
Financing costs to issue common stock
   
     
     
     
     
(665
)
   
     
     
(665
)
Issuance of common stock upon exercise of warrants
   
5,000
     
1
     
     
     
11,700
     
     
     
11,701
 
Common stock issued at Private Placement
   
1,026
     
     
     
     
4,000
     
     
     
4,000
 
Common stock issued in public offering
   
385
     
     
     
     
1,500
     
     
     
1,500
 
Issuance of common stock upon exercise of stock options
   
12
     
     
     
     
29
     
     
     
29
 
OncoCyte common stock received as a dividend from BioTime, net of taxes
   
     
     
     
     
1,117
     
     
     
1,117
 
Common stock issued for services
   
96
     
     
     
     
486
     
     
     
486
 
Net loss
   
     
     
     
     
     
     
(15,003
)
   
(15,003
)
Balance as of December 31, 2015
   
38,228
     
4
     
     
     
92,900
     
434
     
(48,239
)
   
45,099
 
Stock-based compensation
   
557
     
     
     
     
4,797
     
     
     
4,797
 
Shares retired to pay employee taxes
   
(37
)
   
     
     
     
(168
)
   
     
     
(168
)
Unrealized loss on available-for-sale securities, net of taxes
   
     
     
     
     
     
(1,512
)
   
     
(1,512
)
Sale of common stock under at-the-market transactions
   
1,812
     
     
     
     
7,969
     
     
     
7,969
 
Financing costs for at-the-market sales
   
     
     
     
     
(328
)
   
     
     
(328
)
Issuance of common stock upon exercise of stock options
   
827
     
     
     
     
2,026
     
     
     
2,026
 
Issuance of common stock upon exercise of warrants, including fair value of warrants
   
148
     
     
     
     
1,102
     
     
     
1,102
 
Issuance of common stock in public offering
   
5,889
     
1
     
     
     
14,014
     
     
     
14,015
 
Financing costs of public offering
   
     
     
     
     
(1,275
)
   
     
     
(1,275
)
Distribution of warrants to shareholders other than BioTime
   
     
     
     
     
5,285
     
     
     
5,285
 
Common stock issued for services
   
219
     
     
     
     
922
     
     
     
922
 
Cross-License and Share Transfer with BioTime, net
   
(76
)
   
     
     
     
(415
)
   
     
     
(415
)
Net loss
   
     
     
     
     
     
     
(35,489
)
   
(35,489
)
Balance as of December 31, 2016
   
47,567
   
$
5
     
   
$
   
$
126,829
   
$
(1,078
)
 
$
(83,728
)
 
$
42,028
 
 
The accompanying notes are an integral part of these financial statements.
 
48

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