0001209191-18-038421.txt : 20180618
0001209191-18-038421.hdr.sgml : 20180618
20180618190022
ACCESSION NUMBER: 0001209191-18-038421
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180614
FILED AS OF DATE: 20180618
DATE AS OF CHANGE: 20180618
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: 18905768
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
2018-06-14
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
2018-06-14
4
S
0
7500
2.3058
D
612503
D
Common Stock
2018-06-15
4
F
0
7683
2.32
D
604820
D
Common Stock
2018-06-15
4
S
0
7500
2.2959
D
597320
D
Common Stock
2018-06-18
4
A
0
94500
0.00
A
691820
D
Incentive Stock Option (right to purchase)
2.31
2018-06-18
4
A
0
225000
0.00
A
2028-06-18
Common Stock
225000
225000
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 $2.21 to $2.37, 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 $2.265 to $2.32, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
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 three-year period.
Securities beneficially owned are comprised of: (1) 397,500 shares of common stock owned and (2) unvested restricted stock units aggregating 294,320 related to annual awards, which vest quarterly over a three or four-year period from grant date.
Award of an annual stock option. The option vests ratably on a quarterly basis over a three-year period.
/s/ Laura K. Campbell, as attorney-in-fact for John J. Harrington
2018-06-18