SEC Form 4 · accession 0001209191-15-055478
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Lehmann Jr.
Officer — President & COO
Period of report
Jun 18, 2015
Accepted (ET)
Jun 22, 2015 · 6:38 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 18, 2015 | F | 11,777 | $1.21 | D | 384,721 | D | |
| Common StockF2,F3 | Jun 19, 2015 | S | 13,000 | $1.2271 | D | 371,721 | D | |
| Common StockF2,F4,F5 | Jun 22, 2015 | S | 12,000 | $1.1969 | D | 359,721 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld from the quarterly vesting of a June 2013 restricted stock unit award related to the minimum tax withholding obligation.
- F2Shares sold pursuant to a predefined Rule 10b5-1 trading plan for tax and planning purposes related to the quarterly vesting of a June 2013 restricted stock unit award.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.25, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.18 to $1.22, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- F5Securities beneficially owned are comprised of: (1) 128,177 shares of common stock owned, (2) 191,212 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 40,392 that vest quarterly over a four-year period from grant date.