Filing Details

Accession Number:
0001209191-14-022227
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-03-20 16:57:39
Reporting Period:
2014-03-18
Filing Date:
2014-03-20
Accepted Time:
2014-03-20 16:57:39
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
1402610 J John Harrington 3201 Carnegie Avenue
Cleveland OH 44115
Chief Scientific Officer Yes 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 2014-03-18 15,559 $3.69 582,248 No 4 F Direct
Common Stock Disposition 2014-03-18 8,150 $3.54 574,098 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F 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 solely to satisfy the tax obligation on 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 $3.435 to $3.68, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely to satisfy the tax obligation.
  4. Securities beneficially owned are comprised of: (1) 146,185 shares of common stock owned and (2) 427,913 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.