SEC Form 3 · accession 0000899243-18-018885
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tadahisa Kagimoto
Director · 10% Owner
Period of report
Jun 18, 2018
Accepted (ET)
Jul 2, 2018 · 3:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001368148
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 12,000,000 | I | HEALIOS K.K. ("Healios") |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to purchase)F3,F2 | — | holding | — | — | — | Jun 6, 2018 | Sep 1, 2020 | Common Stock | 4,000,000 | — | I |
Explanation of responses
- F1Represents 12,000,000 shares of Common Stock held by Healios. See "Explanation of Responses".
- F2Represents tranche of the Warrant providing right to purchase up to 4,000,000 shares of Common Stock held by Healios. See "Explanation of Responses".
- F3Greater of $1.76 and 110% of the average closing price per share of Common Stock for the 10 trading days immediately preceding (but not including) the date the Warrant is exercised.
Remarks
The reporting person may be deemed to have indirect beneficial ownership of securities that are beneficially owned by Healios, solely through his interest in Healios. For information regarding Healios's beneficial ownership of securities, please refer to Healios's Statement on Schedule 13D, as initially filed on March 23, 2018, which may be amended from time to time, and to Healios's Form 3, as filed on July 2, 2018 (collectively, the "Healios Filings"). Information contained in the Healios Filings is incorporated herein by reference.