Filing Details

Accession Number:
0001209191-14-022290
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-03-20 19:39:51
Reporting Period:
2014-03-18
Filing Date:
2014-03-20
Accepted Time:
2014-03-20 18:39:51
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 2014-03-18 15,646 $3.69 496,486 No 4 F Direct
Common Stock Disposition 2014-03-19 13,000 $3.66 483,486 No 4 S Direct
Common Stock Disposition 2014-03-20 12,000 $3.57 471,486 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 $3.605 to $3.72, 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 $3.53 to $3.63, 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) 41,258 shares of common stock owned and (2) 430,228 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.