0001368148-21-000017.txt : 20210302 0001368148-21-000017.hdr.sgml : 20210302 20210302163320 ACCESSION NUMBER: 0001368148-21-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210301 FILED AS OF DATE: 20210302 DATE AS OF CHANGE: 20210302 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: 21704219 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 wf-form4_161472075437511.xml FORM 4 X0306 4 2021-03-01 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 Employee Stock Option (right to purchase) 2.17 2021-03-01 4 A 0 750000 0 A 2031-03-01 Common Stock 750000.0 750000 D Award of an employee stock option in connection with a retention agreement. The option vests one-third on May 1, 2022 and two-thirds on May 1, 2023, subject to employee's continued service through the vesting date. Vesting would be accelerated upon a termination of employee's employment without cause. /s/ Laura K. Campbell, as attorney-in-fact for John J. Harrington 2021-03-02