SEC Form 3 · accession 0000899243-18-018890
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
HEALIOS K.K.
10% Owner
Period of report
Jun 6, 2018
Accepted (ET)
Jul 2, 2018 · 3:28 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 | D |
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 | — | D |
Explanation of responses
- F1Represents 12,000,000 shares of Common Stock. See "Explanation of Responses".
- F2Represents tranche of the Warrant providing right to purchase up to 4,000,000 shares of Common Stock. 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
For further information regarding HEALIOS K.K.'s ("Healios") 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 (the "Healios Filing"). Information contained in the Healios Filing is incorporated herein by reference.