0001209191-15-028001.txt : 20150319 0001209191-15-028001.hdr.sgml : 20150319 20150319182832 ACCESSION NUMBER: 0001209191-15-028001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150317 FILED AS OF DATE: 20150319 DATE AS OF CHANGE: 20150319 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: Deans Robert J CENTRAL INDEX KEY: 0001402611 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33876 FILM NUMBER: 15714044 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-03-17 0 0001368148 ATHERSYS, INC / NEW ATHX 0001402611 Deans Robert J 3201 CARNEGIE AVENUE CLEVELAND OH 44115 0 1 0 0 Executive Vice President Common Stock 2015-03-17 4 F 0 1084 3.07 D 424021 D Common Stock 2015-03-18 4 F 0 15381 3.09 D 408640 D Common Stock 2015-03-18 4 S 0 2540 3.0739 D 406100 D Common Stock 2015-03-19 4 S 0 2540 3.1262 D 403560 D Shares withheld from the quarterly vesting of a June 2014 restricted stock unit award related to the minimum tax withholding obligation. Shares withheld from the quarterly vesting of a June 2013 restricted stock unit award related to the minimum tax withholding obligation. Shares sold pursuant to a predefined Rule 10b5-1 trading plan solely related to the tax obligation on the quarterly vesting of a June 2013 restricted stock unit award. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.02 to $3.14, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.06 to $3.20, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation. Securities beneficially owned are comprised of: (1) 161,405 shares of common stock owned, (2) unvested 204,650 restricted stock units awarded in June 2013 related to the termination of 2005 incentive agreements that will vest ratably on a quarterly basis through June 18, 2016, and (3) unvested restricted stock units awarded on an annual basis amounting to 37,505 that vest quarterly over a four-year period from grant date. /s/ Laura K. Campbell, as attorney-in-fact for Robert J. Deans 2015-03-19