0000899243-18-018890.txt : 20180702
0000899243-18-018890.hdr.sgml : 20180702
20180702152830
ACCESSION NUMBER: 0000899243-18-018890
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180606
FILED AS OF DATE: 20180702
DATE AS OF CHANGE: 20180702
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HEALIOS K.K.
CENTRAL INDEX KEY: 0001735435
STATE OF INCORPORATION: M0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33876
FILM NUMBER: 18932474
BUSINESS ADDRESS:
STREET 1: WORLD TRADE CENTER BLDG., 15F
STREET 2: 2-4-1 HAMAMATSUCHO, MINATO-KU
CITY: TOKYO
STATE: M0
ZIP: 105-6115
BUSINESS PHONE: 81357778250
MAIL ADDRESS:
STREET 1: WORLD TRADE CENTER BLDG., 15F
STREET 2: 2-4-1 HAMAMATSUCHO, MINATO-KU
CITY: TOKYO
STATE: M0
ZIP: 105-6115
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
2018-06-06
0
0001368148
ATHERSYS, INC / NEW
ATHX
0001735435
HEALIOS K.K.
WORLD TRADE CENTER BLDG.
15F, 2-4-1 HAMAMATSUCHO
MINATO-KU, TOKYO
M0
105-6115
JAPAN
0
0
1
0
Common Stock
12000000
D
Warrant (right to purchase)
2018-06-06
2020-09-01
Common Stock
4000000
D
Represents 12,000,000 shares of Common Stock. See "Explanation of Responses".
Represents tranche of the Warrant providing right to purchase up to 4,000,000 shares of Common Stock. 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.
For further information regarding HEALIOS K.K.'s ("Healios") 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 (the "Healios Filing"). Information contained in the Healios Filing is incorporated herein by reference.
/s/ Hardy TS Kagimoto, Chairman and CEO of HEALIOS K.K.
2018-07-02