SEC Form 4 · accession 0001209191-15-055173
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Deans
Officer — Executive Vice President
Period of report
Jun 17, 2015
Accepted (ET)
Jun 19, 2015 · 5:59 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 | Jun 17, 2015 | F | 1,084 | $1.22 | D | 402,476 | D | |
| Common StockF2 | Jun 18, 2015 | F | 15,381 | $1.21 | D | 387,095 | D | |
| Common StockF3,F4 | Jun 18, 2015 | S | 2,540 | $1.2336 | D | 384,555 | D | |
| Common StockF3,F5,F6 | Jun 19, 2015 | S | 2,540 | $1.2269 | D | 382,015 | 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 $1.21 to $1.26, 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 $1.205 to $1.25, 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) 183,675 shares of common stock owned, (2) 163,720 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 34,620 that vest quarterly over a four-year period from grant date.