0001368148-21-000112.txt : 20211028 0001368148-21-000112.hdr.sgml : 20211028 20211028102525 ACCESSION NUMBER: 0001368148-21-000112 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211028 FILED AS OF DATE: 20211028 DATE AS OF CHANGE: 20211028 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: 211355780 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_163543110984524.xml FORM 4 X0306 4 2021-10-28 0 0001368148 ATHERSYS, INC / NEW ATHX 0001402609 Lehmann William JR 3201 CARNEGIE AVENUE CLEVELAND OH 44115-2634 0 1 0 0 Interim CEO, President, COO Common Stock 2021-10-28 4 M 0 5000 1.28 A 476287 D Stock Option (right to purchase) 1.28 2021-10-28 4 M 0 5000 0 D 2025-06-24 Common Stock 5000.0 112680 D On October 28, 2021, Mr. Lehmann exercised a vested stock option to purchase 5,000 shares of common stock and paid the cash exercise price of $6,400. No tax withholdings were due on the out-of-money option exercise. None of the 5,000 shares of common stock issued upon exercise were sold. Securities beneficially owned are comprised of of (1) 202,521 shares of common stock owned and (2) unvested restricted stock units aggregating 273,766 related to annual awards, which vest quarterly over a four-year period from the date of grant. Stock option vests ratably on a quarterly basis over a four-year period from the date of grant. Award is now fully vested. /s/ Katherine M. Serevitch, as attorney-in-fact for William O. Lehmann 2021-10-28