0001209191-16-109838.txt : 20160321
0001209191-16-109838.hdr.sgml : 20160321
20160321193442
ACCESSION NUMBER: 0001209191-16-109838
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160318
FILED AS OF DATE: 20160321
DATE AS OF CHANGE: 20160321
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: 161519726
MAIL ADDRESS:
STREET 1: 3201 CARNEGIE AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44115
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-03-18
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
2016-03-18
4
F
0
15626
2.43
D
319720
D
Common Stock
2016-03-18
4
S
0
13000
2.40
D
306720
D
Common Stock
2016-03-21
4
S
0
12000
2.4306
D
294720
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 $2.35 to $2.455, 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 $2.385 to $2.47, 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) 174,113 shares of common stock owned, (2) 47,803 restricted stock units awarded on June 20, 2013 related to the termination of 2005 incentive agreements that vest ratably on a quarterly basis through June 18, 2016, and (3) restricted stock units awarded on an annual basis amounting to 72,804 that vest quarterly over a four-year period from grant date.
/s/ Laura K. Campbell, as attorney-in-fact for William O. Lehmann
2016-03-21