|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options | $ 2.48 | 08/01/2005 | A | 50,000 | 08/01/2005 | 08/01/2015 | Common Stock | 50,000 | (22) | 50,000 | D | ||||
Options | $ 1.35 | 04/20/2006 | A | 50,000 | 04/20/2006 | 04/20/2016 | Common Stock | 50,000 | (22) | 50,000 | D | ||||
Options | $ 0.19 | 08/01/2011 | A | 500,000 | 08/01/2011 | 08/01/2021 | Common Stock | 500,000 | (22) | 500,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHAPIRO ALAN C C/O ADVANCED CELL TECHNOLOGY, INC. 33 LOCKE DRIVE MARLBOROUGH, MA 01752 |
X |
/s/ Alan Shapiro | 07/25/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Issued in accordance with the terms of the 2006 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.09 per share, resulting in the issuance to the reporting person of 437,494 shares of Common Stock. |
(2) | Issued in accordance with the terms of the 2006 Convertible Debenture and 2007 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.09 per share, resulting in the issuance to the reporting person of 424,736 shares of Common Stock. |
(3) | Granted directly from issuer pursuant to the A.C.T. Holdings, Inc. 2005 Stock Option Plan. |
(4) | Granted directly from issuer as compensation for Board of Director fees for 2010 and 2011, and 2010 annual retainer due Reporting to Person with 124,362 of the issued shares at a price per share value of $.098 and 758,242 of the issued shares at a price per share of $.091. |
(5) | Issued in accordance with the terms of the 2007 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.09 per share, resulting in the issuance to the reporting person of 416,229 shares of Common Stock. |
(6) | Issued in accordance with the terms of the 2007 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.09 per share, resulting in the issuance to the reporting person of 447,376 shares of Common Stock. |
(7) | Issued in accordance with the terms of the 2007 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.07 per share, resulting in the issuance to the reporting person of 584,310 shares of Common Stock. |
(8) | Issued in accordance with the terms of the 2007 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.08 per share, resulting in the issuance to the reporting person of 473,649 shares of Common Stock. |
(9) | Issued in accordance with the terms of the 2007 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.06 per share, resulting in the issuance to the reporting person of 593,662 shares of Common Stock. |
(10) | Issued in accordance with the terms of the 2007 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.07 per share, resulting in the issuance to the reporting person of 559,979 shares of Common Stock. |
(11) | Issued in accordance with the terms of the 2007 Convertible Debenture and 2008 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.06 per share, resulting in the issuance to the reporting person of 683,273 shares of Common Stock. |
(12) | Issued in accordance with the terms of the 2008 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.05 per share, resulting in the issuance to the reporting person of 798,184 shares of Common Stock. |
(13) | Issued in accordance with the terms of the 2008 Convertible Debenture. The Issuer effected the redemption using shares of Common Stock having a value of $.07 per share, resulting in the issuance to the reporting person of 554,845 shares of Common Stock. |
(14) | Granted directly from issuer as compensation for Board of Director fees for 2010 and 2011, and 2011 annual retainer due Reporting to Person with a price per share of $0.1998. |
(15) | Granted directly from issuer as compensation for Board of Director fees 2011 due to Reporting Person with an average price per share of $0.1821 |
(16) | Granted directly from issuer as annual independent director compensation with a per share value of $.1845. |
(17) | Granted directly from issuer as compensation for Board of Director fees 2011 due to Reporting Person with a per share value of $.1625. |
(18) | Restricted shares issued directly from the Issuer pursuant to the anti-dilution provisions of certain convertible promissory notes and warrants in the Issuer owned by the Reporting Person. |
(19) | Granted directly from issuer as annual independent director compensation with a per share value of $.087. |
(20) | Granted directly from issuer as compensation for Board of Director fees 2011 and 2012, and 2012 annual retainer due to Reporting Person with an average per share value of $0.1117. |
(21) | Issued to the Alan Shapiro & Diane Ronningen TTEES FBO Shapiro Family Trust UAD 9/25/89, of which the Reporting Person is a trustee. |
(22) | Issued directly to the Reporting Person by issuer pursuant to the A.C.T. Holdings, Inc. 2005 Stock Option Plan. |
(23) | Issued directly to Reporting person by issuer representing Board of Director fees for 2012 with a per share value of $0.0749. |
Remarks: This amendment is being filed to correctly report that per share value in footnote 20 and to correctly report the expiration date of the 8/01/2011 option grant. |