0001209191-16-142046.txt : 20160919 0001209191-16-142046.hdr.sgml : 20160919 20160919172837 ACCESSION NUMBER: 0001209191-16-142046 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160917 FILED AS OF DATE: 20160919 DATE AS OF CHANGE: 20160919 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: 161892554 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-09-17 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 2016-09-17 4 F 0 5358 1.97 D 403459 D Common Stock 2016-09-19 4 S 0 3000 1.9579 D 400459 D Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the minimum tax withholding obligation. Shares sold pursuant to a predefined Rule 10b5-1 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 $1.95 to $1.99, 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) 195,802 shares of common stock owned and (2) unvested restricted stock units aggregating 204,657 related to annual awards, which vest quarterly over a four-year period from grant date. /s/ Laura K. Campbell, as attorney-in-fact for William O. Lehmann 2016-09-19