SEC Form 4 · accession 0001209191-16-155974
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Lehmann Jr.
Officer — President and COO
Period of report
Dec 17, 2016
Accepted (ET)
Dec 19, 2016 · 5:29 pm EST
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 | Dec 17, 2016 | F | 5,358 | $1.59 | D | 395,101 | D | |
| Common StockF2,F3,F4 | Dec 19, 2016 | S | 3,000 | $1.6005 | D | 392,101 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the minimum tax withholding obligation.
- F2Shares sold pursuant to a predefined Rule 10b5-1 trading plan enacted solely related to the tax obligation.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.59 to $1.61, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
- F4Securities beneficially owned are comprised of: (1) 203,755 shares of common stock owned and (2) unvested restricted stock units aggregating 188,346 related to annual awards, which vest quarterly over a four-year period from grant date.