0001209191-16-129130.txt : 20160621 0001209191-16-129130.hdr.sgml : 20160621 20160621185041 ACCESSION NUMBER: 0001209191-16-129130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160617 FILED AS OF DATE: 20160621 DATE AS OF CHANGE: 20160621 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: Harrington John J CENTRAL INDEX KEY: 0001402610 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33876 FILM NUMBER: 161725350 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-06-17 0 0001368148 ATHERSYS, INC / NEW ATHX 0001402610 Harrington John J 3201 CARNEGIE AVENUE CLEVELAND OH 44115-2634 1 1 0 0 Exec Vice Pres and CSO Common Stock 2016-06-17 4 F 0 15619 2.16 D 479927 D Common Stock 2016-06-17 4 F 0 2180 2.16 D 477747 D Common Stock 2016-06-20 4 A 0 149392 0.00 A 627139 D Employee Stock Option (right to purchase) 2.19 2016-06-20 4 A 0 348608 0.00 A 2026-06-20 Common Stock 348608 348608 D Shares withheld from the quarterly vesting of a June 2013 restricted stock unit award related to the minimum tax withholding obligation. Shares withheld from the quarterly vesting of a annual restricted stock unit awards related to the minimum tax withholding obligation. Securities beneficially owned are comprised of: (1) 411,579 shares of common stock owned and (2) unvested restricted stock units aggregating 215,560 related to annual awards, which vest quarterly over a four-year period from grant date. Award of an annual stock option. The option vests ratably on a quarterly basis over a four-year period. /s/ Laura K. Campbell, as attorney-in-fact for John J. Harrington 2016-06-21