0001209191-13-033083.txt : 20130620 0001209191-13-033083.hdr.sgml : 20130620 20130620101820 ACCESSION NUMBER: 0001209191-13-033083 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130618 FILED AS OF DATE: 20130620 DATE AS OF CHANGE: 20130620 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Van Bokkelen Gil CENTRAL INDEX KEY: 0001402604 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33876 FILM NUMBER: 13923522 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115 4 1 c556425_4x0.xml MAIN DOCUMENT DESCRIPTION X0306 4 2013-06-18 0001368148 ATHERSYS, INC / NEW ATHX 0001402604 Van Bokkelen Gil 3201 CARNEGIE AVENUE CLEVELAND OH 44115 1 1 0 0 Chmn & Chief Executive Officer Common Stock 2013-06-18 4 A 0 695040 0 A 934526 D Employee stock option (right to purchase) 1.71 2013-06-18 4 A 0 185000 0 A 2023-06-18 Common Stock 185000 185000 D In 2005, in connection with a restructuring of internal programs and to retain and motivate executives, Athersys entered into incentive agreements that provided the executives financial participation in the event of certain merger or acquisition or asset sale transactions. The agreements were established prior to the common stock being publicly traded, had precluded the granting of routine equity awards to officers, and provided a bonus based on a fixed percentage of a transaction. In April 2013, the Board approved arrangements whereby the officers agreed to terminate their incentive agreements in return for one-time grants of restricted stock units for their past service and performance, and for the ability to receive routine annual grants of equity-based awards to better align management incentives with corporate objectives. In June 2013, the RSUs were granted to the officers in exchange for the termination of their incentive agreements. Award of restricted stock units related to the termination of 2005 incentive agreements, each of which represents a contingent right to receive one share of Athersys, Inc. common stock per unit after vesting. The restricted stock units vest ratably on a quarterly basis over a three-year period. Award of a routine, annual stock-based award. The option vests ratably on a quarterly basis over a four-year period. /s/ Laura K. Campbell, as attorney-in-fact for Gil Van Bokkelen 2013-06-20