0001209191-17-038703.txt : 20170609 0001209191-17-038703.hdr.sgml : 20170609 20170609104218 ACCESSION NUMBER: 0001209191-17-038703 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170607 FILED AS OF DATE: 20170609 DATE AS OF CHANGE: 20170609 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: 17901800 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-06-07 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 2017-06-07 4 A 0 154800 0.00 A 541488 D Employee Stock Option (right to purchase) 1.46 2017-06-07 4 A 0 361200 0.00 A 2027-06-07 Common Stock 361200 361200 D Award of annual restricted stock units, each of which represents a contingent right to receive one share of Athersys, Inc. common stock after vesting. The restricted stock units vest ratably on a quarterly basis over a four-year period. Securities beneficially owned are comprised of: (1) 214,653 shares of common stock owned and (2) unvested restricted stock units aggregating 326,835 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 William O. Lehmann 2017-06-09