Filing Details
- Accession Number:
- 0001209191-14-042722
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-06-19 21:16:37
- Reporting Period:
- 2014-06-17
- Filing Date:
- 2014-06-19
- Accepted Time:
- 2014-06-19 21:16:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1368148 | Athersys Inc / New | ATHX | Pharmaceutical Preparations (2834) | 204864095 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1402604 | Gil Bokkelen Van | 3201 Carnegie Avenue Cleveland OH 44115 | Chmn & Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-06-17 | 92,320 | $0.00 | 950,765 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2014-06-18 | 14,270 | $1.65 | 936,495 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2014-06-18 | 4,750 | $1.65 | 931,745 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-06-19 | 4,750 | $1.62 | 926,995 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee incentive stock option (right to purchase) | Acquisiton | 2014-06-17 | 207,680 | $0.00 | 207,680 | $1.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 207,680 | 2024-06-17 | No | 4 | A | Direct |
Footnotes
- Award of annual restricted stock units, each of which represents 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 withheld from the quarterly vesting of a June 2013 restricted stock unit award related to the minimum tax withholding obligation.
- Shares sold pursuant to a predefined Rule 10b5-1 trading plan solely related to the tax obligation on the quarterly vesting of a June 2013 restricted stock unit award.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.62 to $1.68, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.65, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
- Securities beneficially owned are comprised of: (1) 371,315 shares of common stock owned, (2) 463,360 restricted stock units awarded on June 20, 2013 related to the termination of 2005 incentive agreements that will vest ratably on a quarterly basis through June 18, 2016, and (3) restricted stock units awarded on an annual basis amounting to 92,320 that vest quarterly over a four-year period from grant date.
- Award of an annual incentive stock option. The option vests ratably on a quarterly basis over a four-year period.
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