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Ticker: OCX Exchange: ASE


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• Purchase • Sale • Planned purchase • Planned sale Net purchase Net sale
Abbreviations B: Buy, S: Sell, PP: Planned purchase, PS: Planned sale, O: Option / Other
Notification date Transaction date B/S Transaction type Insider and/or position Nb. shares
Price
Value 		Number of shares Price Total value Details
April 18, 2022 April 14, 2022 B Purchase

PURA VIDA INVESTMENTS, LLC

Major owner
1,381,438 +inf%
1.33
1,840,766 USD 		1,381,438 +inf% 1.33 1,840,766 USD
April 18, 2022 April 14, 2022 B Purchase

PURA VIDA INVESTMENTS, LLC

Major owner
767,952 +inf%
1.33
1,023,296 USD 		767,952 +inf% 1.33 1,023,296 USD
April 18, 2022 April 14, 2022 B Purchase

PURA VIDA INVESTMENTS, LLC

Major owner
57,630 +0.7%
1.26
72,614 USD 		57,630 +0.7% 1.26 72,614 USD
April 18, 2022 April 14, 2022 B Purchase

PURA VIDA INVESTMENTS, LLC

Major owner
19,210 +0.2%
1.23
23,571 USD 		19,210 +0.2% 1.23 23,571 USD
April 18, 2022 April 14, 2022 B Purchase

PURA VIDA INVESTMENTS, LLC

Major owner
1,916,419 +29.3%
1.33
2,553,628 USD 		1,916,419 +29.3% 1.33 2,553,628 USD
April 18, 2022 April 14, 2022 B Purchase

PURA VIDA INVESTMENTS, LLC

Major owner
92,370 +1.3%
1.26
116,386 USD 		92,370 +1.3% 1.26 116,386 USD
April 18, 2022 April 14, 2022 B Purchase

PURA VIDA INVESTMENTS, LLC

Major owner
30,790 +0.4%
1.23
37,779 USD 		30,790 +0.4% 1.23 37,779 USD
April 18, 2022 April 14, 2022 B Purchase

PURA VIDA INVESTMENTS, LLC

Major owner
1,665,898 +29.3%
1.33
2,219,809 USD 		1,665,898 +29.3% 1.33 2,219,809 USD
April 15, 2022 April 14, 2022 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
6,003,752 +34.6%
1.33
8,000,000 USD 		6,003,752 +34.6% 1.33 8,000,000 USD
March 28, 2022 March 25, 2022 B Purchase

Ross Douglas T.

Chief Scientific Officer

Officer
15,000 +282.1%
1.40
21,000 USD 		15,000 +282.1% 1.40 21,000 USD
March 17, 2022 March 17, 2022 B Purchase

Paulsen Gisela

Chief Operating Officer

Officer
16,500 +inf%
1.20
19,767 USD 		16,500 +inf% 1.20 19,767 USD
March 17, 2022 March 16, 2022 B Purchase

ANDREWS RONALD ASBURY

Chief Executive Officer

Executive Director
50,000 +20.6%
1.28
64,150 USD 		50,000 +20.6% 1.28 64,150 USD
March 16, 2022 March 16, 2022 B Purchase

Redmond Cavan M.

Non-Executive Director
40,000 +56.4%
1.19
47,560 USD 		40,000 +56.4% 1.19 47,560 USD
March 15, 2022 March 15, 2022 B Purchase

Levine Mitchell S

Chief Financial Officer

Officer
25,000 +40.3%
1.17
29,150 USD 		25,000 +40.3% 1.17 29,150 USD
March 22, 2021 March 19, 2021 B Purchase

ANDREWS RONALD ASBURY

Chief Executive Officer

Executive Director
11,000 +10.7%
4.79
52,702 USD 		11,000 +10.7% 4.79 52,702 USD
Feb. 9, 2021 Feb. 5, 2021 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
600,000 +3.7%
4.50
2,700,000 USD 		600,000 +3.7% 4.50 2,700,000 USD
Jan. 22, 2021 Jan. 20, 2021 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
1,460,280 +9.9%
3.42
4,999,999 USD 		1,460,280 +9.9% 3.42 4,999,999 USD
Dec. 28, 2020 Dec. 23, 2020 S Sale

KINGSLEY ALFRED D

Non-Executive Director
900 -0.3%
2.55
2,295 USD 		900 -0.3% 2.55 2,295 USD
Dec. 23, 2020 Dec. 21, 2020 S Sale

KINGSLEY ALFRED D

Non-Executive Director
5,148 -1.6%
2.54
13,076 USD 		5,148 -1.6% 2.54 13,076 USD
Aug. 5, 2020 Aug. 3, 2020 B Purchase

KALAJIAN TONY T

Sr.VP/Chief Accounting Officer

Officer
5,000 +50.0%
1.31
6,533 USD 		5,000 +50.0% 1.31 6,533 USD
Aug. 5, 2020 Aug. 3, 2020 B Purchase

Parker Albert P

Chief Operating Officer

Officer
5,000 +inf%
1.33
6,648 USD 		5,000 +inf% 1.33 6,648 USD
Aug. 4, 2020 Aug. 3, 2020 B Purchase

Levine Mitchell S

Chief Financial Officer

Officer
10,000 +37.6%
1.32
13,200 USD 		10,000 +37.6% 1.32 13,200 USD
Aug. 4, 2020 Aug. 3, 2020 B Purchase

ANDREWS RONALD ASBURY

Chief Executive Officer

Executive Director
40,000 +63.8%
1.35
53,880 USD 		40,000 +63.8% 1.35 53,880 USD
April 28, 2020 April 24, 2020 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
0
0.00
0 USD 		0 0.00 0 USD
April 28, 2020 April 24, 2020 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
1,050,000 +7.7%
2.27
2,383,500 USD 		1,050,000 +7.7% 2.27 2,383,500 USD
April 1, 2020 March 31, 2020 B Purchase

ANDREWS RONALD ASBURY

CEO and President

Executive Director
18,000 +40.3%
2,372.00
42,696,000 USD 		18,000 +40.3% 2,372.00 42,696,000 USD
April 1, 2020 March 30, 2020 B Purchase

ANDREWS RONALD ASBURY

CEO and President

Executive Director
27,216 +155.7%
2.26
61,454 USD 		27,216 +155.7% 2.26 61,454 USD
Jan. 6, 2020 Jan. 2, 2020 S Sale

Lineage Cell Therapeutics, Inc.

2,383,090 -28.3%
2.16
5,137,942 USD 		2,383,090 -28.3% 2.16 5,137,942 USD
Jan. 6, 2020 Jan. 2, 2020 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
0
0.00
0 USD 		0 0.00 0 USD
Jan. 6, 2020 Jan. 2, 2020 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
623,090 +4.8%
2.16
1,343,382 USD 		623,090 +4.8% 2.16 1,343,382 USD
Jan. 6, 2020 Jan. 2, 2020 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
0
0.00
0 USD 		0 0.00 0 USD
Jan. 6, 2020 Jan. 2, 2020 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
768,376 +6.3%
2.16
1,656,619 USD 		768,376 +6.3% 2.16 1,656,619 USD
Nov. 15, 2019 Nov. 13, 2019 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
0
0.00
0 USD 		0 0.00 0 USD
Nov. 15, 2019 Nov. 13, 2019 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
1,176,471 +10.6%
1.70
2,000,001 USD 		1,176,471 +10.6% 1.70 2,000,001 USD
Sept. 18, 2019 Sept. 17, 2019 B Purchase

Arno Andrew

50,000 +95.3%
2.16
108,130 USD 		50,000 +95.3% 2.16 108,130 USD
Sept. 16, 2019 Sept. 13, 2019 B Purchase

KALAJIAN TONY T

SVP-Chief Accounting Officer
10,000 +inf%
1.98
19,800 USD 		10,000 +inf% 1.98 19,800 USD
Sept. 12, 2019 Sept. 12, 2019 B Purchase

Levine Mitchell S

Chief Financial Officer
10,000 +inf%
2.01
20,060 USD 		10,000 +inf% 2.01 20,060 USD
Sept. 13, 2019 Sept. 11, 2019 S Sale

Lineage Cell Therapeutics, Inc.

Major owner
4,000,000 -32.2%
1.66
6,640,000 USD 		4,000,000 -32.2% 1.66 6,640,000 USD
Sept. 13, 2019 Sept. 11, 2019 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
0
0.00
0 USD 		0 0.00 0 USD
Sept. 13, 2019 Sept. 11, 2019 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
2,000,000 +22.0%
1.66
3,320,000 USD 		2,000,000 +22.0% 1.66 3,320,000 USD
July 5, 2019 July 5, 2019 S Sale

BIOTIME INC

Major owner
2,250,000 -15.3%
2.00
4,500,000 USD 		2,250,000 -15.3% 2.00 4,500,000 USD
July 2, 2019 July 2, 2019 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
0
2.00
0 USD 		0 2.00 0 USD
July 2, 2019 July 2, 2019 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
1,000,000 +12.3%
2.00
2,000,000 USD 		1,000,000 +12.3% 2.00 2,000,000 USD
Feb. 12, 2019 Feb. 8, 2019 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
0
3.75
0 USD 		0 3.75 0 USD
Feb. 12, 2019 Feb. 8, 2019 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
533,333 +7.1%
3.75
1,999,999 USD 		533,333 +7.1% 3.75 1,999,999 USD
July 31, 2018 July 26, 2018 B Purchase

ANNETT WILLIAM

President and CEO

Executive Director
3,500
0.00
0 USD 		3,500 0.00 0 USD
July 31, 2018 July 26, 2018 B Purchase

HESTERBERG LYNDAL K.

Sr VP, Research & Development

Officer
874
0.00
0 USD 		874 0.00 0 USD
July 31, 2018 July 26, 2018 B Purchase

Levine Mitchell S

Chief Financial Officer

Officer
3,495
0.00
0 USD 		3,495 0.00 0 USD
July 31, 2018 July 26, 2018 B Purchase

Last Andrew J.

Non-Executive Director
6,993
0.00
0 USD 		6,993 0.00 0 USD
July 31, 2018 July 26, 2018 B Purchase

Redmond Cavan M.

Non-Executive Director
52,447
0.00
0 USD 		52,447 0.00 0 USD
July 31, 2018 July 26, 2018 B Purchase

Arno Andrew

Non-Executive Director
52,447
0.00
0 USD 		52,447 0.00 0 USD
July 31, 2018 July 26, 2018 B Purchase

ANDREWS RONALD ASBURY

Non-Executive Director
17,482
0.00
0 USD 		17,482 0.00 0 USD
March 30, 2018 March 28, 2018 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
0
1.26
0 USD 		0 1.26 0 USD
March 30, 2018 March 28, 2018 B Purchase

BROADWOOD PARTNERS, L.P.

Major owner
3,968,254 +110.3%
1.26
5,000,000 USD 		3,968,254 +110.3% 1.26 5,000,000 USD

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