0000899243-20-013180.txt : 20200515 0000899243-20-013180.hdr.sgml : 20200515 20200515100903 ACCESSION NUMBER: 0000899243-20-013180 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180313 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kagimoto Tadahisa CENTRAL INDEX KEY: 0001744404 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33876 FILM NUMBER: 20881560 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-03-13 0 0001368148 ATHERSYS, INC / NEW ATHX 0001744404 Kagimoto Tadahisa 3201 CARNEGIE AVENUE CLEVELAND OH 44115-2634 1 0 0 0 Common Stock 2018-03-13 4 J 0 12000000 1.76 A 12000000 I Healios Common Stock 2020-04-02 4 J 0 4000000 1.76 A 16000000 I Healios Common Stock 2020-05-15 4 J 0 310526 1.72 A 16310526 I Healios Warrant (right to purchase) 2020-04-02 4 J 0 4000000 A 2018-06-06 2020-09-01 Common Stock 4000000 0 I Healios Represents 12,000,000 shares of Common Stock. See "Remarks". Represents tranche of the Warrant providing the right to purchase up to 4,000,000 shares of Common Stock. See "Remarks". Represents 310,526 shares of Common Stock purchased pursuant to the Securities Purchase Agreement, dated as of May 15, 2020, by and between Athersys, Inc. and HEALIOS K.K. See "Remarks". 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 2020-05-15