SEC Form 4 · accession 0001209191-17-066415
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, 2017
Accepted (ET)
Dec 19, 2017 · 5:04 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, 2017 | S | 7,500 | $1.6802 | D | 658,474 | D | |
| Common StockF3 | Dec 18, 2017 | F | 8,442 | $1.67 | D | 650,032 | D | |
| Common StockF1,F4,F5 | Dec 18, 2017 | S | 7,500 | $1.7705 | D | 642,532 | 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 $1.665 to $1.69, 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 $1.710 to $1.815, 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) 392,092 shares of common stock owned and (2) unvested restricted stock units aggregating 250,440 related to annual awards, which vest quarterly over a four-year period from grant date.