SEC Form 4 · accession 0001209191-17-053334
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
Sep 15, 2017
Accepted (ET)
Sep 19, 2017 · 5:28 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 | Sep 15, 2017 | S | 10,000 | $2.1409 | D | 679,416 | D | |
| Common StockF3 | Sep 17, 2017 | F | 8,442 | $2.22 | D | 670,974 | D | |
| Common StockF1,F4,F5 | Sep 18, 2017 | S | 5,000 | $2.2198 | D | 665,974 | 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 $2.06 to $2.19, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- F3Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the minimum tax withholding obligation.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.215 to $2.23, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- F5Securities beneficially owned are comprised of: (1) 390,224 shares of common stock owned and (2) unvested restricted stock units aggregating 275,750 related to annual awards, which vest quarterly over a four-year period from grant date.