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