Filing Details
- Accession Number:
- 0001368148-20-000073
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-06-18 20:42:42
- Reporting Period:
- 2020-06-17
- Accepted Time:
- 2020-06-18 20:42:42
- 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 | 2020-06-17 | 14,925 | $2.94 | 410,720 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-06-18 | 133,333 | $0.00 | 544,053 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2020-06-18 | 20,000 | $2.86 | 524,053 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to purchase) | Acquisiton | 2020-06-18 | 300,000 | $0.00 | 300,000 | $2.87 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 300,000 | 2030-06-18 | No | 4 | A | Direct |
Footnotes
- Shares withheld from the quarterly vesting of annual restricted stock unit awards related to the tax withholding obligation.
- Award of annual restricted stock units, each of which represent 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.
- Shares sold pursuant to a predefined Rule 10b5-1 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 $2.80 to $2.93, inclusive, in accordance with a previously established Rule 10b5-1 trading plan enacted for tax and planning purposes.
- Securities beneficially owned are comprised of (1) 221,936 shares of common stock owned and (2) unvested restricted stock units aggregating 302,117 related to annual awards, which vest quarterly over a three or four-year period from date of grant.
- Award of an annual stock option. The option vests ratably on a quarterly basis over a four-year period.
Billionaire Hedge Funds
