Lineage Cell Therapeutics, Inc. 10-Q

Item 5. Other Information Not applicable. 65 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 Separation and Consulting Agreement dated July 20, 2021, between Registrant and Brandi L. Roberts 10.2*+ Employment Agreement dated August 5, 2021, between Registrant and George A. Samuel III 10.3+ Lineage Cell Therapeutics, Inc. 2021 Equity Incentive Plan, 10.1 8-K September 15, 2021 001-12830 10.4+ Standard Form of Stock Option Grant Notice and Agreement for Employees and Consultants under the Lineage Cell Therapeutics, Inc. 2021 Equity Incentive Plan 99.2 S-8 September 28, 2021 333-259853 10.5+ Form of Stock Option Grant Notice and Agreement for Non-Employee Directors under the Lineage Cell Therapeutics, Inc. 2021 Equity Incentive Plan 99.3 S-8 September 28, 2021 333-259853 10.6+ Standard Form of Restricted Stock Unit Award Grant Notice and Agreement under the Lineage Cell Therapeutics, Inc. 2021 Equity Incentive Plan 99.4 S-8 September 28, 2021 333-259853 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 66 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: November 10, 2021 /s/ Brian M. Culley Brian M. Culley Chief Executive Officer Date: November 10, 2021 /s/ Kevin Leon Cook Kevin Leon Cook Chief Financial Officer 67