Filing Details
- Accession Number:
- 0001209191-18-038646
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-06-19 17:49:05
- Reporting Period:
- 2018-06-15
- Accepted Time:
- 2018-06-19 17:49:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1402609 | Jr William Lehmann | 3201 Carnegie Avenue Cleveland OH 44115-2634 | President And Coo | No | 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 | Disposition | 2018-06-15 | 7,889 | $2.32 | 460,084 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2018-06-18 | 96,600 | $0.00 | 556,684 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2018-06-19 | 14,000 | $2.25 | 542,684 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-06-19 | 16,000 | $2.24 | 526,684 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | A | 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 | Incentive Stock Option (right to purchase) | Acquisiton | 2018-06-18 | 230,004 | $0.00 | 230,004 | $2.31 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 230,004 | 2028-06-18 | No | 4 | A | Direct |
Footnotes
- Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the minimum tax withholding obligation.
- 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 three-year period.
- 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 $2.22 to $2.275, inclusive.
- Shares sold for tax and financial planning purposes.
- Securities beneficially owned are comprised of: (1) 223,504 shares of common stock owned and (2) unvested restricted stock units aggregating 303,180 related to annual awards, which vest quarterly over a three or four-year period from grant date.
- Award of an annual stock option. The option vests ratably on a quarterly basis over a three-year period.
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