SEC Form 4 · accession 0001209191-15-071708
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Harrington
Officer — Exec Vice Pres and CSO · Director
Period of report
Sep 17, 2015
Accepted (ET)
Sep 21, 2015 · 5:58 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 | Sep 17, 2015 | F | 2,180 | $1.45 | D | 554,825 | D | |
| Common StockF2 | Sep 18, 2015 | F | 15,619 | $1.35 | D | 539,206 | D | |
| Common StockF3,F4 | Sep 18, 2015 | S | 4,075 | $1.3824 | D | 535,131 | D | |
| Common StockF3,F5,F6 | Sep 21, 2015 | S | 4,075 | $1.3291 | D | 531,056 | 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 and a June 2015 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 $1.33 to $1.49, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.315 to $1.37, 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) 302,343 shares of common stock owned, (2) 142,637 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 86,076 that vest quarterly over a four-year period from grant date.