0001368148-21-000072.txt : 20210615 0001368148-21-000072.hdr.sgml : 20210615 20210615174805 ACCESSION NUMBER: 0001368148-21-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210611 FILED AS OF DATE: 20210615 DATE AS OF CHANGE: 20210615 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: 211019833 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_162379365135971.xml FORM 4 X0306 4 2021-06-11 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 2021-06-11 4 A 0 133333 0 A 805728 D Common Stock 2021-06-15 4 S 0 20767 1.5471 D 784961 D Stock Option (right to purchase) 1.63 2021-06-11 4 A 0 300000 0 A 2031-06-11 Common Stock 300000.0 300000 D Award of annual restricted stock units, each of which represent 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 four-year period. Shares sold pursuant to a predefined Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.535 to $1.57, inclusive, in accordance with a previously established Rule 10b5-1 trading plan. Securities beneficially owned are comprised of (1) 486,372 shares of common stock owned and (2) unvested restricted stock units aggregating 298,589 related to annual awards, which vest quarterly over a three or four-year period from date of grant. Award of an annual stock option. The option vests ratably on a quarterly basis over a four-year period. /s/ Laura K. Campbell, as attorney-in-fact for John J. Harrington 2021-06-15