SEC Form 4 · accession 0001209191-15-027999
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gil Van Bokkelen
Officer — Chmn & Chief Executive Officer · Director
Period of report
Mar 17, 2015
Accepted (ET)
Mar 19, 2015 · 6:27 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 | Mar 17, 2015 | F | 1,895 | $3.07 | D | 893,733 | D | |
| Common StockF2 | Mar 18, 2015 | F | 19,027 | $3.09 | D | 874,706 | D | |
| Common StockF3,F4 | Mar 18, 2015 | S | 4,750 | $3.0754 | D | 869,956 | D | |
| Common StockF3,F5,F6 | Mar 19, 2015 | S | 4,750 | $3.1221 | D | 865,206 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld from the quarterly vesting of a June 2014 restricted stock unit award related to the minimum tax withholding obligation.
- F2Shares withheld from the quarterly vesting of a June 2013 restricted stock unit award related to the minimum tax withholding obligation.
- F3Shares 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.02 to $3.13, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.06 to $3.20, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
- F6Securities beneficially owned are comprised of: (1) 500,596 shares of common stock owned, (2) unvested 289,600 restricted stock units awarded in June 2013 related to the termination of 2005 incentive agreements that will vest ratably on a quarterly basis through June 18, 2016, and (3) unvested restricted stock units awarded on an annual basis amounting to 75,010 that vest quarterly over a four-year period from grant date.