0001209191-19-020039.txt : 20190318 0001209191-19-020039.hdr.sgml : 20190318 20190318171358 ACCESSION NUMBER: 0001209191-19-020039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190317 FILED AS OF DATE: 20190318 DATE AS OF CHANGE: 20190318 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: 19689169 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 2019-03-17 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 2019-03-17 4 F 0 9311 1.51 D 468751 D Common Stock 2019-03-18 4 S 0 15000 1.5298 D 453751 D Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the minimum tax withholding obligation. 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 $1.51 to $1.56, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes. Securities beneficially owned are comprised of: (1) 242,581 shares of common stock owned and (2) unvested restricted stock units aggregating 211,170 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 William O. Lehmann 2019-03-18