Filing Details

Accession Number:
0001209191-15-028001
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-03-19 18:28:32
Reporting Period:
2015-03-17
Filing Date:
2015-03-19
Accepted Time:
2015-03-19 18:28:32
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 Disposition 2015-03-17 1,084 $3.07 424,021 No 4 F Direct
Common Stock Disposition 2015-03-18 15,381 $3.09 408,640 No 4 F Direct
Common Stock Disposition 2015-03-18 2,540 $3.07 406,100 No 4 S Direct
Common Stock Disposition 2015-03-19 2,540 $3.13 403,560 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F Direct
No 4 F Direct
No 4 S Direct
No 4 S Direct
Footnotes
  1. Shares withheld from the quarterly vesting of a June 2014 restricted stock unit award related to the minimum tax withholding obligation.
  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 $3.02 to $3.14, 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 $3.06 to $3.20, 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) 161,405 shares of common stock owned, (2) unvested 204,650 restricted stock units awarded in June 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 37,505 that vest quarterly over a four-year period from grant date.