Filing Details

Accession Number:
0001209191-14-059060
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-22 18:28:16
Reporting Period:
2014-09-18
Filing Date:
2014-09-22
Accepted Time:
2014-09-22 18:28:16
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 2014-09-18 15,619 $1.44 587,460 No 4 F Direct
Common Stock Disposition 2014-09-18 4,050 $1.40 583,410 No 4 S Direct
Common Stock Disposition 2014-09-19 4,100 $1.42 579,310 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 related to the minimum tax withholding obligation.
  2. 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.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.36 to $1.48, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.405 to $1.47, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
  5. Securities beneficially owned are comprised of: (1) 195,999 shares of common stock owned, (2) unvested 332,821 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) unvested restricted stock units awarded on an annual basis amounting to 50,490 that vest quarterly over a four-year period from grant date.