Filing Details
- Accession Number:
- 0001209191-15-086413
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-21 17:10:07
- Reporting Period:
- 2015-12-18
- Filing Date:
- 2015-12-21
- Accepted Time:
- 2015-12-21 17:10:07
- 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 44115-2634 | President And 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 | 2015-12-18 | 15,703 | $1.03 | 360,346 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2015-12-18 | 13,000 | $1.02 | 347,346 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-12-21 | 12,000 | $1.03 | 335,346 | 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
- Shares withheld from the quarterly vesting of a June 2013 restricted stock unit award related to the minimum tax withholding obligation.
- 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.00 to $1.03, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.015 to $1.06, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
- Securities beneficially owned are comprised of: (1) 160,300 shares of common stock owned, (2) 95,606 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 79,440 that vest quarterly over a four-year period from grant date.
Billionaire Hedge Funds
