Lineage Cell Therapeutics, Inc. 10-Q

Item 5. Other Information Not applicable. 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* First Amendment to License Agreement dated April 16, 2021 between Cancer Research Technology Limited and Registrant 10.2*+ First Amendment to Separation and Consulting Agreement dated May 21, 2021 between Registrant and Chase C. Leavitt 10.3*+ Employment Agreement dated June 8, 2021, between Registrant and Kevin Leon Cook 31.1*# Certification of Principal Executive Officer pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 31.2*# Certification of Principal Financial Officer pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 32.1*# Certification of Principal Executive Officer and Principal 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 70 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: August 12, 2021 /s/ Brian M. Culley Brian M. Culley Chief Executive Officer Date: August 12, 2021 /s/ Kevin Leon Cook Kevin Leon Cook Chief Financial Officer 71