SEC Form 4 · accession 0001209191-17-006541
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jordan Davis
Director
Period of report
Feb 1, 2017
Accepted (ET)
Feb 1, 2017 · 9:40 am 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 | Feb 1, 2017 | P | 25,535 | $1.01 | A | 273,520 | I | Radius Venture Partners III, (Ohio), LP |
| Common StockF1,F2 | Feb 1, 2017 | P | 18,645 | $1.01 | A | 199,704 | I | Radius Venture Partners III, LP |
| Common StockF1,F2 | Feb 1, 2017 | P | 203,320 | $1.01 | A | 2,177,776 | I | Radius Venture Partners III QP, LP |
| Common StockF2 | holding | — | — | — | 1,597,788 | I | Radius Venture Partners II, LP | |
| Common StockF3 | holding | — | — | — | 4,000 | I | Mr. Davis' Children | |
| Common Stock | holding | — | — | — | 40,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Purchase of shares in an underwritten public offering at the price paid by the public.
- F2Represents shares of Common Stock held by Radius Venture Partners II,LP; Radius Venture Partners III,LP; Radius Venture Partners III QP, LP; and Radius Venture Partners III, (Ohio), LP, over which Mr. Davis has shared voting and dispositive power. Mr. Davis disclaims beneficial ownership over these shares, except to the extent of his pecuniary interest therein.
- F3Represents 4,000 shares of Common Stock held by Mr. Davis' children, over which Mr. Davis has shared voting and dispositive power. Mr. Davis disclaims beneficial ownership over these shares, except to the extent of his pecuniary interest therein.
Remarks
Purchase of shares in an underwritten public offering at the price paid by the public.