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