SEC Form 4 · accession 0001209191-16-109840
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
Mar 17, 2016
Accepted (ET)
Mar 21, 2016 · 7:36 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, 2016 | F | 2,169 | $2.47 | D | 511,088 | D | |
| Common StockF2,F3 | Mar 18, 2016 | F | 15,542 | $2.43 | D | 495,546 | 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.
- F3Securities beneficially owned are comprised of: (1) 375,197 shares of common stock owned, (2) 47,545 restricted stock units awarded on June 20, 2013 related to the termination of 2005 incentive agreements that vest ratably on a quarterly basis through June 18, 2016, and (3) restricted stock units awarded on an annual basis amounting to 72,804 that vest quarterly over a four-year period from grant date.