0001209191-16-142048.txt : 20160919 0001209191-16-142048.hdr.sgml : 20160919 20160919172954 ACCESSION NUMBER: 0001209191-16-142048 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160915 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: Harrington John J CENTRAL INDEX KEY: 0001402610 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33876 FILM NUMBER: 161892566 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-09-15 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 2016-09-15 4 S 0 7500 1.9723 D 619639 D Common Stock 2016-09-16 4 S 0 7500 1.9542 D 612139 D Common Stock 2016-09-17 4 F 0 5247 1.97 D 606892 D Shares sold pursuant to a predefined Rule 10b5-1 trading plan 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 $1.94 to $1.99, 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 $1.94 to $2.00, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes. Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the minimum tax withholding obligation. Securities beneficially owned are comprised of: (1) 407,305 shares of common stock owned and (2) unvested restricted stock units aggregating 199,587 related to annual awards, which vest quarterly over a four-year period from grant date. /s/ Laura K. Campbell, as attorney-in-fact for John J. Harrington 2016-09-19