Filing Details

Accession Number:
0001209191-13-058297
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-20 18:36:34
Reporting Period:
2013-12-18
Filing Date:
2013-12-20
Accepted Time:
2013-12-20 18:36:34
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1368148 Athersys Inc / New ATHX Pharmaceutical Preparations (2834) 204864095
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1402609 Jr William Lehmann 3201 Carnegie Avenue
Cleveland OH 44115
President & Coo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2013-12-18 15,704 $2.06 537,132 No 4 F Direct
Common Stock Disposition 2013-12-19 13,000 $2.06 524,132 No 4 S Direct
Common Stock Disposition 2013-12-20 12,000 $2.21 512,132 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F Direct
No 4 S Direct
No 4 S Direct
Footnotes
  1. Shares withheld from the quarterly vesting of a June 2013 restricted stock unit award to satisfy the minimum tax withholding obligation.
  2. Shares sold pursuant to a predefined Rule 10b5-1 trading plan for tax and planning purposes related to the quarterly vesting of a June 2013 restricted stock unit award.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.025 to $2.13, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.165 to $2.28, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
  5. Securities beneficially owned are comprised of: (1) 34,100 shares of common stock owned and (2) 478,032 restricted stock units awarded on June 20, 2013 related to the termination of 2005 incentive agreements that will vest ratably on a quarterly basis through June 18, 2016.