SEC Form 4 · accession 0001209191-18-046311
ATHERSYS, INC / NEW · ATHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laura K Campbell
Officer — Senior Vice Pres Finance
Period of report
Aug 8, 2018
Accepted (ET)
Aug 10, 2018 · 6:40 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 | Aug 8, 2018 | S | 2,800 | $2.0068 | D | 590,424 | D | |
| Common StockF1 | Aug 9, 2018 | S | 1,000 | $2.00 | D | 589,424 | D | |
| Common StockF1,F3,F4 | Aug 10, 2018 | S | 25,068 | $2.0092 | D | 564,356 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold pursuant to a Rule 10b5-1 trading plan that commenced in July 2018. A predefined number of shares may be sold from time-to-time based on predefined price increases over a two-year period.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00 to $2.01, inclusive.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00 to $2.015, inclusive.
- F4Securities beneficially owned are comprised of: (1) 423,755 shares of common stock owned and (2) unvested restricted stock units aggregating 140,601 related to annual awards, which vest quarterly over a four-year period from grant date.