SEC Form 4 · accession 0001209191-16-109841
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gil Van Bokkelen
Officer — Chairman and CEO · Director
Period of report
Mar 17, 2016
Accepted (ET)
Mar 21, 2016 · 7:37 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 | 3,728 | $2.47 | D | 884,950 | D | |
| Common StockF2,F3 | Mar 18, 2016 | F | 19,027 | $2.43 | D | 865,923 | 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) 683,559 shares of common stock owned, (2) 57,920 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 124,444 that vest quarterly over a four-year period from grant date.