0001209191-15-086413.txt : 20151221 0001209191-15-086413.hdr.sgml : 20151221 20151221171007 ACCESSION NUMBER: 0001209191-15-086413 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151218 FILED AS OF DATE: 20151221 DATE AS OF CHANGE: 20151221 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: Lehmann William JR CENTRAL INDEX KEY: 0001402609 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33876 FILM NUMBER: 151300130 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-12-18 0 0001368148 ATHERSYS, INC / NEW ATHX 0001402609 Lehmann William JR 3201 CARNEGIE AVENUE CLEVELAND OH 44115-2634 0 1 0 0 President and COO Common Stock 2015-12-18 4 F 0 15703 1.03 D 360346 D Common Stock 2015-12-18 4 S 0 13000 1.0186 D 347346 D Common Stock 2015-12-21 4 S 0 12000 1.0339 D 335346 D 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 for tax and planning purposes related to 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 $1.00 to $1.03, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.015 to $1.06, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes. Securities beneficially owned are comprised of: (1) 160,300 shares of common stock owned, (2) 95,606 restricted stock units awarded on June 20, 2013 related to the termination of 2005 incentive agreements that will vest ratably on a quarterly basis through June 18, 2016, and (3) restricted stock units awarded on an annual basis amounting to 79,440 that vest quarterly over a four-year period from grant date. /s/ Laura K. Campbell, as attorney-in-fact for William O. Lehmann 2015-12-21