SEC Form 4 · accession 0001209191-17-053335
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
Sep 17, 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 | Sep 17, 2017 | F | 8,668 | $2.22 | D | 527,380 | D | |
| Common StockF2,F3,F4 | Sep 19, 2017 | S | 15,000 | $2.3817 | D | 512,380 | 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 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 $2.35 to $2.42, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- F4Securities beneficially owned are comprised of: (1) 227,842 shares of common stock owned and (2) unvested restricted stock units aggregating 284,538 related to annual awards, which vest quarterly over a four-year period from grant date.