0001209191-18-051252.txt : 20180917
0001209191-18-051252.hdr.sgml : 20180917
20180917170551
ACCESSION NUMBER: 0001209191-18-051252
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180913
FILED AS OF DATE: 20180917
DATE AS OF CHANGE: 20180917
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: 181074057
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
2018-09-13
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
2018-09-13
4
S
0
7500
1.9131
D
684320
D
Common Stock
2018-09-14
4
S
0
7500
1.9145
D
676820
D
Common Stock
2018-09-17
4
F
0
9050
1.88
D
667770
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 $1.90 to $1.94, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted 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 $1.895 to $1.95, 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.
Securities beneficially owned are comprised of: (1) 403,269 shares of common stock owned and (2) unvested restricted stock units aggregating 264,501 related to annual awards, which vest quarterly over a three or four-year period from grant date.
/s/ Laura K. Campbell, as attorney-in-fact for John J. Harrington
2018-09-17