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