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