SEC Form 4 · accession 0001209191-16-155976
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
Dec 15, 2016
Accepted (ET)
Dec 19, 2016 · 5:30 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,F2 | Dec 15, 2016 | S | 7,500 | $1.6087 | D | 599,392 | D | |
| Common StockF1,F3 | Dec 16, 2016 | S | 7,500 | $1.6002 | D | 591,892 | D | |
| Common StockF4,F5 | Dec 17, 2016 | F | 5,247 | $1.59 | D | 586,645 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold pursuant to a predefined Rule 10b5-1 trading plan for tax and planning purposes.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.595 to $1.63, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- 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 $1.62, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- F4Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the minimum tax withholding obligation.
- F5Securities beneficially owned are comprised of: (1) 403,031 shares of common stock owned and (2) unvested restricted stock units aggregating 183,614 related to annual awards, which vest quarterly over a four-year period from grant date.