Lineage Cell Therapeutics, Inc. 10-Q

Item 5. Other Information Not applicable. 75 Item 6. Exhibits Incorporation by Reference Exhibit Number Description Exhibit Number Filing Filing Date File No. 3.1 Restated Articles of Incorporation, as amended 3.1 10-Q May 10, 2018 001-12830 3.2 Certificate of Ownership 3.1 8-K August 12, 2019 001-12830 3.3 Amended and Restated Bylaws 3.2 8-K August 12, 2019 001-12830 10.1+ Separation and Consulting Agreement dated January 20, 2021 between Registrant and Brandi Roberts 10.15 10-K March 11, 2021 001-12830 10.2*+ Separation and Consulting Agreement dated March 29, 2021 between Registrant and Chase C. Leavitt 31.1* Certification of Chief Executive Officer and Chief Financial Officer pursuant to Form of Rule 13a-14(a), as Adopted Pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 32.1# Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 101* Interactive Data File 101.INS* XBRL Instance Document 101.SCH* XBRL Taxonomy Extension Schema 101.CAL* XBRL Taxonomy Extension Calculation Linkbase 101.DEF* XBRL Taxonomy Extension Definition Document 101.LAB* XBRL Taxonomy Extension Label Linkbase 101.PRE* XBRL Taxonomy Extension Presentation Linkbase 104* Cover Page Interactive Data File (embedded within the Inline XBRL document) * Filed herewith # Furnished herewith + Indicates management contract or compensatory plan 76 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. LINEAGE CELL THERAPEUTICS, INC. Date: May 13, 2021 /s/ Brian M. Culley Brian M. Culley Chief Executive Officer (On behalf of the Registrant and in his capacity as Principal Financial Officer) 77