SEC Form 4 · accession 0001209191-17-022127
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, 2017
Accepted (ET)
Mar 21, 2017 · 7:01 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,F2 | Mar 17, 2017 | F | 5,294 | $1.15 | D | 581,351 | 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.
- F2Securities beneficially owned are comprised of: (1) 413,710 shares of common stock owned and (2) unvested restricted stock units aggregating 167,641 related to annual awards, which vest quarterly over a four-year period from grant date.