SEC Form 4 · accession 0001209191-18-020565
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 15, 2018
Accepted (ET)
Mar 19, 2018 · 4:17 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 15, 2018 | S | 7,500 | $1.8587 | D | 635,032 | D | |
| Common StockF1,F3 | Mar 16, 2018 | S | 7,500 | $1.8276 | D | 627,532 | D | |
| Common StockF4,F5 | Mar 17, 2018 | F | 7,529 | $1.86 | D | 620,003 | 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 $1.830 to $1.940, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted 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 $1.790 to $1.860, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- F4Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the minimum tax withholding obligation.
- F5Securities beneficially owned are comprised of: (1) 394,873 shares of common stock owned and (2) unvested restricted stock units aggregating 225,130 related to annual awards, which vest quarterly over a four-year period from grant date.