Filing Details

Accession Number:
0001209191-14-042723
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-06-19 21:17:49
Reporting Period:
2014-06-17
Filing Date:
2014-06-19
Accepted Time:
2014-06-19 21:17:49
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
1402611 J Robert Deans 3201 Carnegie Avenue
Cleveland OH 44115
Executive Vice President 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 Acquisiton 2014-06-17 46,160 $0.00 488,656 No 4 A Direct
Common Stock Disposition 2014-06-18 15,381 $1.65 473,275 No 4 F Direct
Common Stock Disposition 2014-06-18 2,540 $1.65 470,735 No 4 S Direct
Common Stock Disposition 2014-06-19 2,540 $1.62 468,195 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 F Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee incentive stock option (right to purchase) Acquisiton 2014-06-17 103,840 $0.00 103,840 $1.65
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
103,840 2024-06-17 No 4 A Direct
Footnotes
  1. Award of annual restricted stock units, each of which represents a contingent right to receive one share of Athersys, Inc. common stock after vesting. The restricted stock units vest ratably on a quarterly basis over a four-year period.
  2. Shares withheld from the quarterly vesting of a June 2013 restricted stock unit award related to the minimum tax withholding obligation.
  3. Shares sold pursuant to a predefined Rule 10b5-1 trading plan solely related to the tax obligation on the quarterly vesting of a June 2013 restricted stock unit award.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.62 to $1.675, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.65, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
  6. Securities beneficially owned are comprised of: (1) 94,595 shares of common stock owned, (2) 327,440 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, and (3) restricted stock units awarded on an annual basis amounting to 46,160 that vest quarterly over a four-year period from grant date.
  7. Award of an annual incentive stock option. The option vests ratably on a quarterly basis over a four-year period.