0001209191-18-038646.txt : 20180619 0001209191-18-038646.hdr.sgml : 20180619 20180619174905 ACCESSION NUMBER: 0001209191-18-038646 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180615 FILED AS OF DATE: 20180619 DATE AS OF CHANGE: 20180619 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: 18908112 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 2018-06-15 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 2018-06-15 4 F 0 7889 2.32 D 460084 D Common Stock 2018-06-18 4 A 0 96600 0.00 A 556684 D Common Stock 2018-06-19 4 S 0 14000 2.2482 D 542684 D Common Stock 2018-06-19 4 S 0 16000 2.2441 D 526684 D Incentive Stock Option (right to purchase) 2.31 2018-06-18 4 A 0 230004 0.00 A 2028-06-18 Common Stock 230004 230004 D Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the minimum tax withholding obligation. 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. 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 $2.22 to $2.275, inclusive. Shares sold for tax and financial planning purposes. Securities beneficially owned are comprised of: (1) 223,504 shares of common stock owned and (2) unvested restricted stock units aggregating 303,180 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 William O. Lehmann 2018-06-19