Mga Batayang Estadistika
| CIK | 1140098 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Ocata Therapeutics, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| February 22, 2016 |
15-12G 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 No. 001-36855 Ocata Therapeutics, Inc. (Exact name of registrant as specifie |
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| February 11, 2016 |
OCAT / Ocata Therapeutics, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Ocata Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 67457L100 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Numb |
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| February 10, 2016 |
EX-3.2 Exhibit 3.2 BYLAWS OF OCATA THERAPEUTICS, INC. a Delaware Corporation (hereinafter referred to as the ?Corporation?) ARTICLE I OFFICES Section 1. Registered Office. The registered office and the registered agent of the Corporation are as set forth in the Certificate of Incorporation. Section 2. Other Offices. The Corporation may also have offices at such other places both within and without |
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| February 10, 2016 |
EX-99.1 Exhibit 99.1 Astellas Announces Results of Tender Offer to Acquire All Outstanding Shares of Ocata Therapeutics and Changes to Subsidiaries Tokyo, February 10, 2016 - Astellas Pharma Inc. (TSE: 4503, President and CEO: Yoshihiko Hatanaka, Astellas) announced today that it has successfully completed, through its indirect wholly-owned subsidiary Laurel Acquisition Inc. (Laurel), a tender |
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| February 10, 2016 |
S-8 POS As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
S-8 POS As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
S-8 POS As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
S-8 POS As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
POS AM As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
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): February 10, 2016 OCATA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Com |
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| February 10, 2016 |
S-8 POS As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
POS AM As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
POS AM As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
S-8 POS As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No. 9 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.001 per share (Title of Class of S |
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| February 10, 2016 |
POS AM As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
POS AM As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| February 10, 2016 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OCATA THERAPEUTICS, INC. ARTICLE I EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF OCATA THERAPEUTICS, INC. ARTICLE I NAME The name of the corporation is Ocata Therapeutics, Inc. (the ?Corporation?). ARTICLE II REGISTERED OFFICE AND REGISTERED AGENT The address of the Corporation?s registered office in the State of Delaware is Corporation Service Company, 2711 Centerville Road, Suite 400, City of Wilmington, |
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| February 10, 2016 |
POS AM As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. |
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| January 25, 2016 |
Ocata Therapeutics AMENDMENT NO. 8 TO SCHEDULE 14D-9 Amendment No. 8 to Schedule 14D-9 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No. 8 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.001 per sh |
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| January 25, 2016 |
Exhibit (a)(1)(M) Exhibit (a)(1)(M) January 25, 2016 Re: Your Ocata Therapeutics stock; PROMPT ACTION REQUIRED Dear Ocata Stockholder, We are writing to you today because you hold shares of Ocata Therapeutics? common stock. |
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| January 22, 2016 |
Ocata Therapeutics SCHEDULE 14D-9 AMENDMENT NO. 7 Schedule 14D-9 Amendment No. 7 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No. 7 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.001 per share |
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| January 11, 2016 |
SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No. 6 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.001 per share (Title of Class of S |
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| January 6, 2016 |
SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No. 5 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.001 per share (Title of Class of S |
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| January 6, 2016 |
OCAT / Ocata Therapeutics, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Ocata Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 67457L100 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Autho |
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| December 22, 2015 |
SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. 4 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.001 per share (Title of Class of S |
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| December 18, 2015 |
AMENDMENT NO. 1 AGREEMENT AND PLAN OF MERGER EX-2.1 Exhibit 2.1 AMENDMENT NO. 1 TO AGREEMENT AND PLAN OF MERGER This Amendment No. 1 (this ?Amendment?), dated as of December 18, 2015, to the Agreement and Plan of Merger (the ?Merger Agreement?), dated as of November 10, 2015, is made by and among ASTELLAS PHARMA INC., a company organized under the laws of Japan (?Parent?), LAUREL ACQUISITION INC., a Delaware corporation and an indirect wholl |
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| December 18, 2015 |
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): December 18, 2015 OCATA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commiss |
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| December 18, 2015 |
SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No. 3 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.001 per share (Title of Class of S |
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| December 3, 2015 |
SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No. 2 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.001 per share (Title of Class of S |
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| November 24, 2015 |
SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No. 1 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.001 per share (Title of Class of S |
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| November 19, 2015 |
Ocata Therapeutics SCHEDULE 14D-9 Schedule 14D-9 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 10, 2015 |
Exhibit 10.1 INDEMNIFICATION AGREEMENT This Indemnification Agreement (?Agreement?) is made as of by and between Ocata Therapeutics, Inc., a Delaware corporation (the ?Company?), and (?Indemnitee?). RECITALS WHEREAS, the Company desires to attract and retain the services of highly qualified individuals, such as Indemnitee, to serve the Company; WHEREAS, in order to induce Indemnitee to continue to |
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| November 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Names of Persons Filing Statement) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 67457L100 (CUSIP Number of Cl |
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| November 10, 2015 |
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 OCATA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commissi |
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| November 10, 2015 |
EX-2.1 2 a15-226501ex2d1.htm EX-2.1 Exhibit 2.1 Execution version AGREEMENT AND PLAN OF MERGER DATED AS OF NOVEMBER 10, 2015 AMONG ASTELLAS PHARMA INC., LAUREL ACQUISITION INC. AND OCATA THERAPEUTICS, INC. The Agreement and Plan of Merger (the “Agreement”) contains representations, warranties and covenants that were made only for purposes of the Agreement and as of specific dates; were solely for |
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| November 10, 2015 |
COMMON STOCK PURCHASE WARRANT AMENDMENT AGREEMENT OCATA THERAPEUTICS, INC. Exhibit 10.2 COMMON STOCK PURCHASE WARRANT AMENDMENT AGREEMENT OCATA THERAPEUTICS, INC. THIS COMMON STOCK PURCHASE WARRANT AMENDMENT AGREEMENT (the ?Agreement?) is entered into as of November 9, 2015, by and among Ocata Therapeutics, Inc., a Delaware corporation (the ?Company?) and the other parties which are signatories hereto (individually, an ?Investor? and collectively, the ?Investors?). In co |
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| November 10, 2015 |
Amendment No. 2 Ocata Therapeutics, Inc. EX-3.1 3 a15-226501ex3d1.htm EX-3.1 Exhibit 3.1 Amendment No. 2 to By-laws of Ocata Therapeutics, Inc. The By-laws of Ocata Therapeutics, Inc., a Delaware corporation (the “Corporation”) are hereby amended as follows: 1. Article V, Section 6 (“Exclusive Jurisdiction of Delaware Courts”) as set forth below is hereby inserted in the By-laws immediately following Article V, Section 5.9 thereof: “6.1. |
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| November 10, 2015 |
SC14D9C 1 a15-226502sc14d9c.htm SC14D9C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Ocata Therapeutics, Inc. (Name of Subject Company) Ocata Therapeutics, Inc. (Names of Persons Filing Statement) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of S |
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| November 10, 2015 |
Exhibit 99.2 Astellas to Acquire Ocata Therapeutics - New Step Forward in Ophthalmology with Cell Therapy Approach - Tokyo and Massachusetts, November 10, 2015 - Astellas Pharma Inc. (TSE: 4503, President and CEO: Yoshihiko Hatanaka, ?Astellas?) and Ocata Therapeutics, Inc. (NASDAQ: OCAT, President and CEO: Paul Wotton, ?Ocata?), a biotechnology company focused on the research and development of n |
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| November 10, 2015 |
Exhibit 99.1 SUPPORT AGREEMENT This SUPPORT AGREEMENT (this Agreement), dated as of [·], 2015, is entered into by and among [·] (Stockholder), ASTELLAS PHARMA INC., a company organized under the laws of Japan (Parent), and LAUREL ACQUISITION INC., a Delaware corporation and an indirect wholly owned subsidiary of Parent (Merger Sub). WHEREAS, contemporaneously with the execution of this Agr |
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| November 9, 2015 |
Ocata Therapeutics QUARTERLY REPORT (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2015 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: 0-50295 |
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| November 6, 2015 |
As filed with the Securities and Exchange Commission on November 6, 2015 Registration No. |
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| August 31, 2015 |
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 29, 2015 OCATA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commissio |
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| August 19, 2015 |
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 19, 2015 OCATA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commissio |
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| August 19, 2015 |
Exhibit 10.1 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (this ?Agreement?) dated as of August 18, 2015 (the ?Effective Date?) between SILICON VALLEY BANK, a California corporation with a loan production office located at 275 Grove Street, Suite 2-200, Newton, Massachusetts 02466 (?Bank?), and OCATA THERAPEUTICS, INC., a Delaware corporation (?Borrower?), provides the terms on whi |
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| August 6, 2015 |
Exhibit 99.1 Ocata Therapeutics Provides Corporate Update for the Second Quarter of 2015 Call Scheduled for Today at 4:30 P.M. MARLBOROUGH, Mass. ? August 6, 2015 - Ocata Therapeutics, Inc. (NASDAQ: OCAT), a leader in the field of Regenerative Ophthalmology?, today provided a corporate update for the second quarter of 2015. ?During the quarter, we made significant progress across multiple aspects |
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| August 6, 2015 |
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 6, 2015 OCATA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| July 24, 2015 |
FIRST AMENDMENT TO THE OCATA THERAPEUTICS, INC. 2014 STOCK OPTION AND INCENTIVE PLAN EX-10.1 2 ocata8k-ex1001.htm AMENDMENT TO STOCK OPTION PLAN Exhibit 10.1 FIRST AMENDMENT TO THE OCATA THERAPEUTICS, INC. 2014 STOCK OPTION AND INCENTIVE PLAN WHEREAS, Ocata Therapeutics, Inc. (the “Company”) maintains the Ocata Therapeutics, Inc. 2014 Stock Option and Incentive Plan (the “Plan”), which was previously adopted by the Board of Directors and the stockholders of the Company; WHEREAS, t |
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| July 24, 2015 |
Ocata Therapeutics CURRENT REPORT ON FORM 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): July 22, 2015 OCATA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 17, 2015 |
5,500,000 Shares of Common Stock Warrants to Purchase 2,750,000 Shares of Common Stock Use these links to rapidly review the document Table of Contents TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. |
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| June 17, 2015 |
Exhibit 1.1 Execution Copy 5,500,000 Shares of Common Stock and Warrants to Purchase up to 2,750,000 Shares of Common Stock Ocata Therapeutics, Inc. UNDERWRITING AGREEMENT June 16, 2015 JEFFERIES LLC COWEN AND COMPANY, LLC As Representatives of the several Underwriters c/o Jefferies LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: Introductory. Ocata Therapeutics, Inc., a Dela |
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| June 17, 2015 |
COMMON STOCK PURCHASE WARRANT OCATA THERAPEUTICS, INC. Exhibit 4.1 COMMON STOCK PURCHASE WARRANT OCATA THERAPEUTICS, INC. W- CUSIP: 67457L118 Number of Warrants: Issue Date: June 22, 2015 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the Exercisability Date and |
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| June 17, 2015 |
Ocata Therapeutics 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): June 16, 2015 OCATA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 11, 2015 |
Ocata Therapeutics ADDITIONAL DEFINITIVE PROXY MATERIALS SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| June 11, 2015 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| April 28, 2015 |
OCATA THERAPEUTICS, Inc. 3,000,000 SHARES COMMON STOCK Filed Pursuant to Rule 424(b)(3) Registration No. 333-199309 PROSPECTUS OCATA THERAPEUTICS, Inc. 3,000,000 SHARES COMMON STOCK This prospectus relates to the offer and sale of up to 3,000,000 shares of common stock, par value $0.001, of Ocata Therapeutics, Inc., a Delaware corporation, by Lincoln Park Capital Fund, LLC, or Lincoln Park or the selling stockholder. The shares of common stock being o |
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| April 27, 2015 |
CORRESP 1 filename1.htm April 27, 2015 Via EDGAR Transmission and E-mail U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Jeffrey P. Riedler Re: Ocata Therapeutics, Inc.: Registration Statement on Form S-3 filed October 14, 2014, as amended on April 3, 2015 (File No. 333-199309) Dear Mr. Riedler: Pursuant to Rule 461 of the |
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| April 3, 2015 |
April 3, 2015 Mr. Jeffrey P. Riedler Assistant Director Division of Corporate Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Advanced Cell Technology, Inc. Registration Statement on Form S-3 Filed October 14, 2014 File No. 333-199309 Dear Mr. Riedler: This letter is submitted on behalf of Ocata Therapeutics, Inc. (formerly known as Advanced Cell Technology |
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| April 3, 2015 |
Ocata Therapeutics FORM S-1 AMENDMENT As filed with the Securities and Exchange Commission on April 3, 2015 Registration No. |
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| February 26, 2015 |
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 26, 2015 OCATA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commission |
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| February 26, 2015 |
EX-99.1 2 a15-53581ex99d1.htm EX-99.1 Exhibit 99.1 Ocata Therapeutics Approved for Listing on NASDAQ Trading under Ticker “OCAT” to Begin Today, February 26, 2015 MARLBOROUGH, Mass. — February 26, 2015, — Ocata Therapeutics, Inc. (“Ocata”; NASDAQ Global Market: OCAT), a clinical stage biotechnology company developing regenerative ophthalmology therapeutics, today announced that it has received not |
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| February 23, 2015 |
OCAT / Ocata Therapeutics, Inc. 8-A12B - - 8-A12B 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 Ocata Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 87-0656515 (State of incorporation or organization) (I.R.S. Employer Identification No.) 33 Locke Drive Marl |
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| February 9, 2015 |
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 9, 2015 OCATA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commission F |
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| February 9, 2015 |
February 9, 2015 BIO CEO Presentation Exhibit 99.1 February 9, 2015 BIO CEO Presentation Cautionary Statement Concerning Forward-Looking Statements Ocata Therapeutics Inc. (“Ocata” or “the Company”) has filed a registration statement (including a prospectus and a preliminary prospectus supplement) with the Securities and Exchange Commission (“SEC”) for the offering to which this presentation relates. Before you invest you should read |
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| February 5, 2015 |
OCAT / Ocata Therapeutics, Inc. / Aronson Gary D - FORM SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) OCATA THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 67457L100 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing This Statement) Check the appropriate box to designate the Rule pursuant to which thi |
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| December 19, 2014 |
Exhibit 99.1 Public Offering December 2014 Cautionary Statement Concerning Forward-Looking Statements Ocata Therapeutics Inc. (“Ocata” or “the Company”) has filed a registration statement (including a prospectus and a preliminary prospectus supplement) with the Securities and Exchange Commission (“SEC”) for the offering to which this presentation relates. Before you invest you should read the pros |
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| December 19, 2014 |
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): December 19, 2014 OCATA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commission |
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| December 2, 2014 |
10,000,000 Shares Common Stock Use these links to rapidly review the document Table of Contents TABLE OF CONTENTS Table of Contents The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. |
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| November 13, 2014 |
OCAT / Ocata Therapeutics, Inc. CORRESP - - November 13, 2014 Via EDGAR Transmission and E-mail U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Jeffrey P. Riedler Re: Ocata Therapeutics, Inc.: Registration Statement on Form S-3 filed October 14, 2014, as amended on October 28, 2014 (File No. 333-199311) Dear Mr. Riedler: Pursuant to Rule 461 of the Securities Act of |
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| November 13, 2014 |
Exhibit 3.2 Certificate of Amendment of Certificate of Incorporation of Advanced Cell Technology, Inc. Under Section 242 of the Delaware General Corporation Law Advanced Cell Technology, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”) hereby certifies as follows: 1. The Certificate of Incorporation of the Corporation is hereby amended by chang |
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| November 13, 2014 |
Exhibit 3.1 Certificate of Amendment of Certificate of Incorporation of Advanced Cell Technology, Inc. Under Section 242 of the Delaware General Corporation Law Advanced Cell Technology, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”) hereby certifies as follows: 1. The Certificate of Incorporation of the Corporation is hereby amended by chang |
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| November 13, 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): November 12, 2014 OCATA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commission |
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| October 28, 2014 |
OCAT / Ocata Therapeutics, Inc. S-3/A - - AMENDMENT NO. 1 S-3/A 1 advancedcells3a1-199311.htm AMENDMENT NO. 1 As filed with the Securities and Exchange Commission on October 28, 2014 Registration No. 333-199311 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaw |
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| October 28, 2014 |
OCAT / Ocata Therapeutics, Inc. CORRESP - - October 28, 2014 VIA email United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4561 100 F Street, N. |
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| October 20, 2014 |
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): October 20, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Co |
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| October 20, 2014 |
Exhibit 99.1 Advanced Cell Technology Appoints LeRoux Jooste as SVP of Business Development & Chief Commercial Officer Industry Veteran to Lead Business Development and Commercialization MARLBOROUGH, Mass. — October 20, 2014 – Advanced Cell Technology, Inc. (“ACT”; OTCBB: ACTC), a leader in the field of regenerative medicine, today announced the appointment of LeRoux Jooste to the newly created po |
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| October 15, 2014 |
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): October 14, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Co |
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| October 15, 2014 |
EX-99.1 2 actcex9901.htm PRESS RELEASE Exhibit 99.1 ACT Announces Positive Results from Two Clinical Trials Published in The Lancet Using Differentiated Stem Cell-Derived Retinal Pigment Epithelium (RPE) Cells for the Treatment of Macular Degeneration Phase 1/2 Clinical Trials of RPE Cells for the Treatment of Dry Age-Related Macular Degeneration and Stargardt’s Macular Degeneration Show Positive |
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| October 14, 2014 |
Exhibit 4.10 Certificate of Amendment of Certificate of Incorporation of Advanced Cell Technology, Inc. Under Section 242 of the Delaware General Corporation Law Advanced Cell Technology, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”) hereby certifies as follows: 1. The Certificate of Incorporation of the Corporation is hereby amended by chan |
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| October 14, 2014 |
EXHIBIT 4.9 ADVANCED CELL TECHNOLOGY, INC. and [·], AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF [·] ADVANCED CELL TECHNOLOGY, INC. FORM OF COMMON STOCK WARRANT AGREEMENT COMMON STOCK WARRANT AGREEMENT (this “Agreement”), dated as of between Advanced Cell Technology, Inc. , a Delaware corporation (the “Company”) and , a [corporation] [national banking association] organized |
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| October 14, 2014 |
Exhibit 4.6 ADVANCED CELL TECHNOLOGY, INC. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [·], 201[·] Subordinated Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 Form of Securities and Trus |
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| October 14, 2014 |
RATIO OF EARNINGS TO COMBINED FIXED CHARGES AND PREFERENCE DIVIDENDS (in thousands) Exhibit 12.1 RATIO OF EARNINGS TO COMBINED FIXED CHARGES AND PREFERENCE DIVIDENDS (in thousands) Fiscal Year Ended December 31, 2009 Fiscal Year Ended December 31, 2010 Fiscal Year Ended December 31, 2011 Fiscal Year Ended December 31, 2012 Fiscal Year Ended December 31, 2013 Nine Months Ended September 30, 2014 Ratio of earnings to fixed charges 0.03 (0.96) 0.69 (2.11) (21.13) (47.07) Ratio of co |
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| October 14, 2014 |
Exhibit 4.5 ADVANCED CELL TECHNOLOGY, INC. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [·], 201[·] Senior Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 Form of Securities and Trustee’s |
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| October 14, 2014 |
OCAT / Ocata Therapeutics, Inc. S-3 - - FORM S-3 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on October 14, 2014 Registration No. |
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| October 14, 2014 |
EXHIBIT 4.11 ADVANCED CELL TECHNOLOGY, INC. and [·], AS WARRANT AGENT FORM OF DEBT SECURITIES WARRANT AGREEMENT DATED AS OF [·] ADVANCED CELL TECHNOLOGY, INC. FORM OF DEBT SECURITIES WARRANT AGREEMENT DEBT SECURITIES WARRANT AGREEMENT (this “Agreement”), dated as of between ADVANCED CELL TECHNOLOGY, INC., a Delaware corporation (the “Company”) and , a [corporation] [national banking association] o |
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| October 14, 2014 |
OCAT / Ocata Therapeutics, Inc. S-3 - - FORM S-3 REGISTRATION STATEMENT S-3 1 advancedcells3.htm FORM S-3 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on October 14, 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 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 33 Locke Drive M |
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| October 14, 2014 |
EXHIBIT 4.10 ADVANCED CELL TECHNOLOGY, INC. and [·], AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT DATED AS OF [·] ADVANCED CELL TECHNOLOGY, INC. FORM OF PREFERRED STOCK WARRANT AGREEMENT PREFERRED STOCK WARRANT AGREEMENT (this “Agreement”), dated as of between Advanced Cell Technology, Inc. , a Delaware corporation (the “Company”) and , a [corporation] [national banking association] |
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| October 14, 2014 |
Exhibit 3.8 Certificate of Amendment of Certificate of Incorporation of Advanced Cell Technology, Inc. Under Section 242 of the Delaware General Corporation Law Advanced Cell Technology, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”) hereby certifies as follows: 1. The Certificate of Incorporation of the Corporation is hereby amended by chang |
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| October 6, 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 1, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Com |
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| September 26, 2014 |
OCAT / Ocata Therapeutics, Inc. DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| September 26, 2014 |
OCAT / Ocata Therapeutics, Inc. DEF 14A - - PROXY STATEMENT SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| September 23, 2014 |
Exhibit 16.1 September 23, 2014 PCAOB Letter File Office of the Chief Accountant Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549-7561 Commissioners: We have read Advanced Cell Technology, Inc. and Subsidiary's statements included under Item 4.01 of its Form 8-K filed on September 23, 2014, and we agree with such statements concerning our firm. /s/ SingerLewak LLP Singer |
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| September 23, 2014 |
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): September 17, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) ( |
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| September 22, 2014 |
OCAT / Ocata Therapeutics, Inc. CORRESP - - Goodwin Procter LLP Counsellors at Law Exchange Place Boston, MA 02109 T: 617.570.1000 F: 617.523.1231 September 22, 2014 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attention: Jeffrey P. Riedler Re: Advanced Cell Therapeutics, Inc. Preliminary Proxy Statement on Schedule 14A Filed September 10, 2014 File No. 000-50295 |
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| September 10, 2014 |
OCAT / Ocata Therapeutics, Inc. PRE 14A - - PRELIMINARY PROXY STATEMENT SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| August 27, 2014 |
EX-3.1 2 act8k-ex0301.htm CERTIFICATE OF AMENDMENT Exhibit 3.1 Certificate of Amendment of Certificate of Incorporation of Advanced Cell Technology, Inc. Under Section 242 of the Delaware General Corporation Law Advanced Cell Technology, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”) hereby certifies as follows: 1. The Certificate of Incorpor |
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| August 27, 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): August 27, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Com |
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| August 6, 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): July 31, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commi |
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| July 22, 2014 |
Advanced Cell Technology, Inc. 260,600,707 SHARES COMMON STOCK Filed Pursuant to Rule 424(b)(3) Registration No. 333-197255 PROSPECTUS Advanced Cell Technology, Inc. 260,600,707 SHARES COMMON STOCK This prospectus relates to the offer and sale of up to 260,600,707 shares of common stock, par value $0.001, of Advanced Cell Technology, Inc., a Delaware corporation, by Lincoln Park Capital Fund, LLC, or Lincoln Park or the selling stockholder. The shares of comm |
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| July 3, 2014 |
OCAT / Ocata Therapeutics, Inc. S-3 - - ADVANCED CELL TECHNOLOGY, INC. As filed with the Securities and Exchange Commission on July 3, 2014 Registration No. |
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| July 3, 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): June 27, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commi |
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| July 3, 2014 |
Exhibit 10.2 Execution Version REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this "Agreement"), dated as of June 27, 2014, by and between ADVANCED CELL TECHNOLOGY, INC., a Delaware corporation (the "Company"), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (together with it permitted assigns, the “Buyer”). Capitalized terms used herein and not otherwise de |
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| July 3, 2014 |
Exhibit 10.1 Execution Version PURCHASE AGREEMENT PURCHASE AGREEMENT (the “Agreement”), dated as of June 27, 2014, by and between ADVANCED CELL TECHNOLOGY, INC., a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (the “Investor”). WHEREAS: Subject to the terms and conditions set forth in this Agreement, the Company wishes to sell to th |
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| June 24, 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): June 24, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commi |
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| June 24, 2014 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is made as of the 18th day of June, 2014, between Advanced Cell Technology, Inc., a Delaware corporation (the “Company”), and Paul K. Wotton, Ph.D. (the “Executive”) and shall become effective on the first day of Executive’s employment with the Company (the “Effective Date”). WHEREAS, the Company and the Executive desire tha |
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| June 24, 2014 |
Exhibit 99.1 Advanced Cell Technology Appoints Paul K. Wotton, Ph.D, President and Chief Executive Officer Industry Veteran to Lead Company’s Growth and Clinical Expansion MARLBOROUGH, Mass. — June 24, 2014 – Advanced Cell Technology, Inc. (“ACT”; OTCBB: ACTC), a leader in the field of regenerative medicine, today announced the appointment of Paul Wotton, Ph.D., to the position of President and Ch |
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| June 13, 2014 |
OCAT / Ocata Therapeutics, Inc. / Aronson Gary D - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. ) ADVANCED CELL TECHNOLOGY, INC. (Name of Issuer) COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 00752K105 (CUSIP Number) June 4, 2014 (Date of Event which Requires Filing This Statement) Check the appropriate box to designate the Rule pursuant to which this |
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| June 13, 2014 |
OCAT / Ocata Therapeutics, Inc. / Gorton John - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. ) ADVANCED CELL TECHNOLOGY, INC. (Name of Issuer) COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 00752K105 (CUSIP Number) June 4, 2014 (Date of Event which Requires Filing This Statement) Check the appropriate box to designate the Rule pursuant to which this |
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| June 6, 2014 |
Exhibit 10.1 SETTLEMENT AGREEMENT This Settlement Agreement (the “Agreement”) is made this 3rd day of June, 2014, by and between Gary D. Aronson (“Aronson”), John S. Gorton, individually and as trustee of the John S. Gorton Separate Property Trust dated March 3, 1993 (“Gorton”) (Aronson and Gorton are each a “Plaintiff”; together, the “Plaintiffs”), herronlaw apc, attorneys for Aronson (“Herron”), |
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| June 6, 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): June 4, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commis |
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| May 29, 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): May 22, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commis |
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| May 5, 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): April 29, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Comm |
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| April 21, 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): April 15, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Comm |
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| March 17, 2014 |
SEC FILE NUMBER 000-50295 CUSIP NUMBER 00752K105 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 10, 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): March 7, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commi |
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| January 22, 2014 |
Exhibit 10.1 SEPARATION AGREEMENT This Separation Agreement (“Separation Agreement” or “Agreement”) is made between and Gary H. Rabin (“Executive”) and Advanced Cell Technology, Inc., a Delaware corporation (along with its parents, subsidiaries and affiliates, the “Company” and, together with the Executive, the “Parties”). WHEREAS, the Parties entered into an Employment Agreement dated July 1, 201 |
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| January 22, 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): January 21, 2014 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Co |
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| January 22, 2014 |
Advanced Cell Technology Announces Change in Management Exhibit 99.1 Advanced Cell Technology Announces Change in Management Marlborough, MA. – January 22, 2014 – Advanced Cell Technology (OTC: ACTC) today announced that Gary Rabin will leave the Chief Executive Officer position, effective immediately. The board has appointed the Company’s CFO and Executive Vice President of Corporate Development, Edward Myles, as interim President. The board will init |
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| December 26, 2013 |
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 23, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (C |
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| December 23, 2013 |
Financial Statements and Exhibits, Other Events - FORM 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): December 23, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (C |
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| December 23, 2013 |
Ex. 99.1 We are subject to litigation that will be costly to defend or pursue and uncertain in its outcome. Our business may bring us into conflict with our licensees, licensors or others with whom we have contractual or other business relationships, or with our competitors or others whose interests differ from ours. If we are unable to resolve those conflicts on terms that are satisfactory to all |
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| December 23, 2013 |
- AMENDMENT NO. 1 TO S-3 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on December 23 , 2013 Registration No. |
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| December 12, 2013 |
Other Events - CURRENT REPORT ON FORM 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): December 12, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (C |
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| December 12, 2013 |
Exhibit 99.1 Advanced Cell Technology Appoints Eddy Anglade M.D. Executive Vice President of Clinical Development Company Strengthens Clinical Team as it Nears Phase II Trials in AMD and SMD MARLBOROUGH, Mass. — December 12, 2013 – Advanced Cell Technology, Inc. (“ACT”; OTCBB: ACTC), a leader in the field of regenerative medicine, today announced the appointment of Eddy Anglade, M.D., to the newly |
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| December 6, 2013 |
As filed with the Securities and Exchange Commission on December 6, 2013 Registration No. |
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| October 24, 2013 |
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 22, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 24, 2013 |
Exhibit 3.1 Certificate of Amendment of Certificate of Incorporation of Advanced Cell Technology, Inc. Under Section 242 of the Delaware General Corporation Law Advanced Cell Technology, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”) hereby certifies as follows: 1. The Certificate of Incorporation of the Corporation is hereby amended by chang |
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| September 9, 2013 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| September 6, 2013 |
- DEFINITIVE NOTICE AND PROXY STATEMENT SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| August 26, 2013 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| August 23, 2013 |
August 23, 2013 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attention: Jeffrey P. Riedler Amy Reischauer Daniel Greenspan Re: Advanced Cell Technology, Inc. Preliminary Proxy Statement on Schedule 14A Filed August 12, 2013 File No. 000-50295 Ladies and Gentlemen: This letter is submitted on behalf of Advanced Cell Techn |
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| August 12, 2013 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| August 12, 2013 |
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 12, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commission File N |
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| August 12, 2013 |
Advanced Cell Technology Files Preliminary Proxy Statement with Securities and Exchange Commission Exhibit 99.1 Advanced Cell Technology Files Preliminary Proxy Statement with Securities and Exchange Commission Company to Pursue Reverse Stock Split in Connection with National Exchange Listing MARLBOROUGH, Mass. — August 12th, 2013 – Advanced Cell Technology, Inc. (“ACT”;OTCQB: ACTC), a leader in the field of regenerative medicine, announced that it has filed preliminary proxy materials with the |
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| August 12, 2013 |
Advanced Cell Technology Files Preliminary Proxy Statement with Securities and Exchange Commission Exhibit 99.1 Advanced Cell Technology Files Preliminary Proxy Statement with Securities and Exchange Commission Company to Pursue Reverse Stock Split in Connection with National Exchange Listing MARLBOROUGH, Mass. — August 12th, 2013 – Advanced Cell Technology, Inc. (“ACT”;OTCQB: ACTC), a leader in the field of regenerative medicine, announced that it has filed preliminary proxy materials with the |
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| August 12, 2013 |
Financial Statements and Exhibits, Other Events - CURRENT REPORT ON FORM 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): August 12, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commission File N |
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| August 7, 2013 |
Advanced Cell Technology Announces Second Quarter 2013 Results EX-99.1 2 act8k-ex9901.htm PRESS RELEASE Exhibit 99.1 Advanced Cell Technology Announces Second Quarter 2013 Results MARLBOROUGH, Mass. — August 7th, 2013 – Advanced Cell Technology, Inc. (“ACT”;OTCQB: ACTC), a leader in the field of regenerative medicine, announced today second quarter financial results for the period ended June 30, 2013. Highlights of the second quarter include: · Confirmed that |
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| August 7, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - CURRENT REPORT 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 7, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commissi |
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| May 24, 2013 |
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 20, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 24, 2013 |
EXECUTIVE EMPLOYMENT AGREEMENT EXHIBIT 10.1 EXECUTIVE EMPLOYMENT AGREEMENT This EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is made on May 20, 2013, by and between ADVANCED CELL TECHNOLOGY, INC., a Delaware corporation (the “Company”) and EDWARD MYLES, an individual (the “Executive”). WHEREAS, the Board of Directors of the Company (the “Board”) has approved and authorized the entry into this Agreement with Executive; and |
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| May 24, 2013 |
EXHIBIT 99.1 ACT Appoints Edward Myles as Chief Financial Officer Experienced Finance and Operations Executive to Join Company on June 12, 2013 MARLBOROUGH, Mass. – May 23, 2013 – Advanced Cell Technology, Inc. (“ACT”; OTCQB: ACTC), a leader in the field of regenerative medicine, today announced the appointment of Edward “Ted” Myles, CPA, as Chief Financial Officer and Executive Vice President of |
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| May 22, 2013 |
Registration No. 333- As filed with the Securities and Exchange Commission on May 22, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation or Organization) 33 Locke Drive |
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| May 22, 2013 |
ADVANCED CELL TECHNOLOGY, INC., Dated as of Senior Debt Securities TABLE OF CONTENTS Exhibit 4.12 ADVANCED CELL TECHNOLOGY, INC., Issuer AND , Trustee INDENTURE Dated as of Senior Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee’s Certificate 8 Secti |
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| May 22, 2013 |
ADVANCED CELL TECHNOLOGY, INC., Dated as of Subordinated Debt Securities TABLE OF CONTENTS Exhibit 4.14 ADVANCED CELL TECHNOLOGY, INC., Issuer AND , Trustee INDENTURE Dated as of Subordinated Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee’s Certificate 8 |
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| May 22, 2013 |
ADVANCED CELL TECHNOLOGY, INC. Computation of Ratios of Earnings to Fixed Charges (in thousands) Exhibit 12.1 ADVANCED CELL TECHNOLOGY, INC. Computation of Ratios of Earnings to Fixed Charges (in thousands) Three Months Ended March 31, Fiscal Year Ended December 31, 2013 2012 2011 2010 2009 2008 EARNINGS: Losses before taxes $ (5,764 ) $ (21,138 ) $ (21,110 ) $ (32,328 ) $ (10,822 ) $ (18,954 ) FIXED CHARGES: Interest Expense $ 524 $ 1,104 $ 1,510 $ 11,726 $ 9,191 $ 26,615 Finance Costs 293 3 |
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| May 16, 2013 |
ACT Confirms Clinical Trial Participant Showed Improvement in Vision from 20/400 to 20/40 Following Treatment MARLBOROUGH, Mass. |
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| May 16, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 actc8k.htm FORM 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 16, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of |
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| May 1, 2013 |
Exhibit 10.1 SHARE EXCHANGE AGREEMENT This Share Exchange Agreement (this “Agreement”) is made and entered into as of April 25, 2013 by and between Advanced Cell Technology, Inc., a Delaware corporation (the “Company”), and Volation Capital Partners, LLC, a New York limited liability company doing business as Volation Life Sciences Capital Partners, LLC (“Investor”). Each party is sometimes indivi |
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| May 1, 2013 |
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 25, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 18, 2013 |
ADVANCED CELL TECHNOLOGY, INC. 33 Locke Drive Marlborough, MA 01752 March 18, 2013 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street N.E. Washington, DC 20549 Attention: Jeffrey P. Riedler, Assistant Director Re: Advanced Cell Technology, Inc. Registration Statement on Form S-3 Filed February 21, 2013 File No. 333-186785 Ladies and Gentlemen: Pursuant |
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| March 15, 2013 |
Registration No. 333- 186785 As filed with the Securities and Exchange Commission on March 15 , 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Pre-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of in |
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| March 15, 2013 |
ADVANCED CELL TECHNOLOGY, INC. 33 Locke Drive Marlborough, MA 01752 March 15, 2013 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street N.E. Washington, DC 20549 Attention: Jeffrey P. Riedler, Assistant Director Re: Advanced Cell Technology, Inc. Registration Statement on Form S-3 Filed February 21, 2013 File No. 333-186785 Ladies and Gentlemen: On behalf |
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| March 7, 2013 |
- POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 ON FORM S-3 Registration No. 333-184321 As filed with the Securities and Exchange Commission on March 7, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-1 on FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdic |
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| February 21, 2013 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of January 23, 2013, between Advanced Cell Technology, Inc., a Delaware corporation (the “Company”) and each of the holders signatory hereto (each such purchaser, a “Holders” and, collectively, the “Holders”). This Agreement is made pursuant to the Settlement Agreement and T |
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| February 21, 2013 |
- FORM S-3 REGISTRATION STATMEMENT Registration No. 333- As filed with the Securities and Exchange Commission on February 21, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 33 Locke |
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| January 25, 2013 |
Unregistered Sales of Equity Securities - CURRENT REPORT ON FORM 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): January 23, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commis |
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| January 18, 2013 |
Entry into a Material Definitive Agreement - AMENDMENT TO CURRENT REPORT ON FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A 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 11, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Comm |
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| January 17, 2013 |
SETTLEMENT AGREEMENT AND MUTUAL RELEASE EX-10.1 2 advancedcell8k-ex1001.htm SETTLEMENT AGREEMENT AND MUTUAL RELEASE Exhibit 10.1 SETTLEMENT AGREEMENT AND MUTUAL RELEASE This Settlement Agreement and Mutual Release is made and entered into as of December 31, 2012 (the “Agreement”), by and among CAMOFI Master LDC (“CAMOFI”) and CAMHZN Master LDC (“CAMZHN”) (collectively, the “Holders”) and Advanced Cell Technology, Inc. (“Advanced Cell” o |
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| January 17, 2013 |
Exhibit 99.1 Advanced Cell Technology Announces Settlement of Litigation Agreement Resolves All Litigation Associated with Previously Issued Convertible Debentures MARLBOROUGH, Mass. — January 17, 2013 – Advanced Cell Technology, Inc. (“ACT”; OTCBB: ACTC or the “Company”), a leader in the field of regenerative medicine, today announced that it has reached a settlement agreement with CAMOFI and CAM |
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| January 17, 2013 |
AMORTIZING SENIOR SECURED CONVERTIBLE DEBENTURE Exhibit 10.2 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| January 17, 2013 |
AMORTIZING SENIOR SECURED CONVERTIBLE DEBENTURE Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| January 17, 2013 |
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 11, 2013 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commis |
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| January 17, 2013 |
Exhibit 10.4 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of December ,2012, between Advanced Cell Technology, Inc., a Delaware corporation (the “Company”) and each of the holders signatory hereto (each such purchaser, a “Holders” and, collectively, the “Holders”). This Agreement is made pursuant to the Settlement Agreement and Tra |
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| January 17, 2013 |
Exhibit 10.5 Office lease agreement This Lease Agreement made on January 11, 2013 by and between, Wendy Jolles and Linda Olstein, Trustees of The Janelon Trust under Declaration of Trust dated January 28, 1975 and recorded with the Suffolk County Registry of Deeds in Book 8766, Page 558, as amended by instrument dated January 7, 1988 and recorded in Book 14432, Page 267, (hereinafter called “Landl |
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| November 9, 2012 |
ADVANCED CELL TECHNOLOGY, INC. 298,750,000 Shares of Common Stock Filed pursuant to Rule 424(b)(3) Under the Securities Act of 1933, as amended Registration No. |
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| November 5, 2012 |
ADVANCED CELL TECHNOLOGY, INC. 33 Locke Drive Marlborough, MA 01752 November 5, 2012 EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Jeffrey Riedler, Esq. Re: Advanced Cell Technology, Inc. Registration Statement on Form S-1 Filed October 5, 2012 File No. 333-184321 Ladies and Gentlemen: Pursuant to Rule 461 of the Gener |
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| October 26, 2012 |
October 26, 2012 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| October 26, 2012 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 26, 2012 REGISTRATION NO. |
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| October 9, 2012 |
Advanced Cell Technology, Inc. 33 Locke Drive Marlborough, MA 01752 October 9, 2012 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Jeffrey P. Riedler, Assistant Director Re: Advanced Cell Technology, Inc. Form 10-K for the Fiscal Year Ended December 31, 2011 Filed March 1, 2012 File No. 000-50295 Ladies and Gentle |
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| October 5, 2012 |
Registration Statement - FORM S-1 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 5, 2012 REGISTRATION NO. |
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| September 20, 2012 |
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, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commission Fil |
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| September 20, 2012 |
Exhibit 10.1 PURCHASE AGREEMENT PURCHASE AGREEMENT (the “Agreement”), dated as of September 19, 2012, by and between ADVANCED CELL TECHNOLOGY, INC., a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (the “Investor”). WHEREAS: Subject to the terms and conditions set forth in this Agreement, the Company wishes to sell to the Investor, a |
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| September 20, 2012 |
EX-99.1 4 actc8k-ex9901.htm PRESS RELEASE Exhibit 99.1 Advanced Cell Technology Secures New $35 Million Funding Commitment from Lincoln Park Capital Financing Commitment Puts Company on Firmer Financial Footing as it Continues Progress with Three Ongoing Phase I/II Clinical Trials and Other Promising Pipeline Program Opportunities MARLBOROUGH, MA – Sept. 20, 2012. Advanced Cell Technology, Inc. (“ |
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| September 20, 2012 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this "Agreement"), dated as of September 19, 2012, by and between ADVANCED CELL TECHNOLOGY, INC., a Delaware corporation (the "Company"), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (together with it permitted assigns, the “Buyer”). Capitalized terms used herein and not otherwise defined herein |
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| September 14, 2012 |
Unregistered Sales of Equity Securities, Other Events - FORM 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 11, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Comm |
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| September 4, 2012 |
Advanced Cell Technology, Inc. 33 Locke Drive Marlborough, MA 01752 September 4, 2012 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Jim B. Rosenberg, Senior Assistant Chief Accountant Re: Advanced Cell Technology, Inc. Form 10-K for the Fiscal Year Ended December 31, 2011 Filed March 1, 2012 File No. 000-50295 La |
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| August 10, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - CURRENT REPORT 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 8, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 10, 2012 |
EXHIBIT 99.1 Advanced Cell Technology Announces 2012 Second Quarter Results Press Release: Advanced Cell Technology, Inc. – Wed, Aug 8, 2012 4:00 PM EDT MARLBOROUGH, Mass.-(BUSINESS WIRE)- Advanced Cell Technology, Inc. (“ACT”, OTCBB: ACTC)(the “Company”), a leader in the field of regenerative medicine, announced today second quarter financial results for the period ended June 30, 2012. Highlights |
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| May 31, 2012 |
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 30, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 9, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 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): May 8, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| May 9, 2012 |
Advanced Cell Technology Announces 2012 First Quarter Results Exhibit 99.1 Advanced Cell Technology Announces 2012 First Quarter Results MARLBOROUGH, Mass.– Advanced Cell Technology, Inc. (“ACT”;OTCBB: ACTC), a leader in the field of regenerative medicine, announced today first quarter financial results for the period ended March 31, 2012. The Company reported a loss from operations of $(5.4) million compared to a loss from operations of $(4.8) million in th |
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| April 30, 2012 |
Submission of Matters to a Vote of Security Holders - CURRENT REPORT ON FORM 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): April 26, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commission File Nu |
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| April 16, 2012 |
Unregistered Sales of Equity Securities, Other Events - FORM 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): April 10, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commissi |
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| April 16, 2012 |
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, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 20, 2012 |
ADVANCED CELL TECHNOLOGY, INC. 115,483,941 Shares of Common Stock Filed pursuant to Rule 424(b)(3) Under the Securities Act of 1933, as amended Registration No. |
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| March 14, 2012 |
ACT Announces Filing of Definitive Proxy ACT Announces Filing of Definitive Proxy Proxy Sets Record Date of March 1, 2012 and Annual Meeting Date of April 26, 2012 MARLBOROUGH, Mass. |
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| March 14, 2012 |
ACT Announces Filing of Definitive Proxy ACT Announces Filing of Definitive Proxy Proxy Sets Record Date of March 1, 2012 and Annual Meeting Date of April 26, 2012 MARLBOROUGH, Mass. |
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| March 14, 2012 |
Financial Statements and Exhibits, Other Events - FORM 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): March 14, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commission File Nu |
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| March 14, 2012 |
DEFA14A 1 v3058798-k.htm FORM 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): March 14, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of |
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| March 13, 2012 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| March 12, 2012 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| March 8, 2012 |
EXCHANGE AGREEMENT This EXCHANGE AGREEMENT (the “Agreement”), dated as of February 24, 2012, is by and between Advanced Cell Technology, Inc. |
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| March 8, 2012 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events - 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): March 8, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commissio |
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| March 5, 2012 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION (Amendment No. |
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| March 2, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 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): March 1, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) Delaware 000-50295 87-0656515 (State or other jurisdiction of incorporation) (Commission File Num |
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| March 2, 2012 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MARCH 2, 2012 REGISTRATION NO. |
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| March 2, 2012 |
Advanced Cell Technology Announces 2011 Financial Results Advanced Cell Technology Announces 2011 Financial Results MARLBOROUGH, Mass.-(BUSINESS WIRE)- Advanced Cell Technology, Inc. (“ACT”, OTCBB: ACTC), a leader in the field of regenerative medicine, today announced year-end results for the year ended December 31, 2011. The Company utilized $13.6 million in cash for operations during the year, compared to $8.8 million in the year-earlier period. The in |
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| March 1, 2012 |
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 x Filed by a Party other than the Registrant ¨ Check the appropriate box: S Preliminary Proxy Statement £ Confidential, for the use of the Commission only (as permitted by Rule 14a-6(e)(2)) £ Definitive Proxy Statement £ Definitive Additional Materials £ Soliciting Material Pursuant to §240. |
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| January 30, 2012 |
CERTIFICATE OF AMENDMENT TO CERTIFICATE OF INCORPORATION OF ADVANCED CELL TECHNOLOGY, INC. CERTIFICATE OF AMENDMENT TO CERTIFICATE OF INCORPORATION OF ADVANCED CELL TECHNOLOGY, INC. |
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| January 30, 2012 |
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, 2012 ADVANCED CELL TECHNOLOGY, INC. (Exact Name of Registrant as Specified in Charter) Delaware 000-50295 87-0656515 (State or Other Jurisdiction of Incorporation) (Commis |
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| December 20, 2011 |
December 20, 2011 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549-3628 Re: Advanced Cell Technology, Inc. Preliminary Proxy Statement on Schedule 14A Filed December 12, 2011 File No. 000-50295 Ladies and Gentlemen: Advanced Cell Technology, Inc. (the “Company”) is submitting an amendment to the preliminary proxy statement |
