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