0001209191-17-053334.txt : 20170919
0001209191-17-053334.hdr.sgml : 20170919
20170919172802
ACCESSION NUMBER: 0001209191-17-053334
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170915
FILED AS OF DATE: 20170919
DATE AS OF CHANGE: 20170919
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: 171092782
MAIL ADDRESS:
STREET 1: 3201 CARNEGIE AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44115
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-09-15
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
2017-09-15
4
S
0
10000
2.1409
D
679416
D
Common Stock
2017-09-17
4
F
0
8442
2.22
D
670974
D
Common Stock
2017-09-18
4
S
0
5000
2.2198
D
665974
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 $2.06 to $2.19, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.215 to $2.23, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
Securities beneficially owned are comprised of: (1) 390,224 shares of common stock owned and (2) unvested restricted stock units aggregating 275,750 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
2017-09-19