0000899243-18-018885.txt : 20180702 0000899243-18-018885.hdr.sgml : 20180702 20180702151951 ACCESSION NUMBER: 0000899243-18-018885 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180618 FILED AS OF DATE: 20180702 DATE AS OF CHANGE: 20180702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kagimoto Tadahisa CENTRAL INDEX KEY: 0001744404 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33876 FILM NUMBER: 18932448 MAIL ADDRESS: STREET 1: HEALIOS K.K., WORLD TRADE CENTER BLDG. STREET 2: 15F, 2-4-1 HAMAMATSUCHO, MINATO-KU CITY: TOKYO STATE: M0 ZIP: 1056115 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ATHERSYS, INC / NEW CENTRAL INDEX KEY: 0001368148 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 204864095 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115-2634 BUSINESS PHONE: 216-431-9900 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115-2634 FORMER COMPANY: FORMER CONFORMED NAME: BTHC VI Inc DATE OF NAME CHANGE: 20060629 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2018-06-18 0 0001368148 ATHERSYS, INC / NEW ATHX 0001744404 Kagimoto Tadahisa 3201 CARNEGIE AVENUE CLEVELAND OH 44115-2634 1 0 1 0 Common Stock 12000000 I HEALIOS K.K. ("Healios") Warrant (right to purchase) 2018-06-06 2020-09-01 Common Stock 4000000 I Healios Represents 12,000,000 shares of Common Stock held by Healios. See "Explanation of Responses". Represents tranche of the Warrant providing right to purchase up to 4,000,000 shares of Common Stock held by Healios. See "Explanation of Responses". Greater of $1.76 and 110% of the average closing price per share of Common Stock for the 10 trading days immediately preceding (but not including) the date the Warrant is exercised. The reporting person may be deemed to have indirect beneficial ownership of securities that are beneficially owned by Healios, solely through his interest in Healios. For information regarding Healios's beneficial ownership of securities, please refer to Healios's Statement on Schedule 13D, as initially filed on March 23, 2018, which may be amended from time to time, and to Healios's Form 3, as filed on July 2, 2018 (collectively, the "Healios Filings"). Information contained in the Healios Filings is incorporated herein by reference. /s/ Hardy TS Kagimoto 2018-07-02