0001209191-15-071693.txt : 20150921
0001209191-15-071693.hdr.sgml : 20150921
20150921173517
ACCESSION NUMBER: 0001209191-15-071693
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150917
FILED AS OF DATE: 20150921
DATE AS OF CHANGE: 20150921
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ATHERSYS, INC / NEW
CENTRAL INDEX KEY: 0001368148
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 204864095
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3201 CARNEGIE AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44115-2634
BUSINESS PHONE: 216-431-9900
MAIL ADDRESS:
STREET 1: 3201 CARNEGIE AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44115-2634
FORMER COMPANY:
FORMER CONFORMED NAME: BTHC VI Inc
DATE OF NAME CHANGE: 20060629
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Van Bokkelen Gil
CENTRAL INDEX KEY: 0001402604
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33876
FILM NUMBER: 151118100
MAIL ADDRESS:
STREET 1: 3201 CARNEGIE AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44115
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-09-17
0
0001368148
ATHERSYS, INC / NEW
ATHX
0001402604
Van Bokkelen Gil
3201 CARNEGIE AVENUE
CLEVELAND
OH
44115-2634
1
1
0
0
Chairman and CEO
Common Stock
2015-09-17
4
F
0
3727
1.45
D
930192
D
Common Stock
2015-09-18
4
S
0
4750
1.3813
D
925442
D
Common Stock
2015-09-18
4
F
0
19027
1.35
D
906415
D
Common Stock
2015-09-21
4
S
0
4750
1.3303
D
901665
D
Shares withheld from the quarterly vesting of a June 2014 and a June 2015 restricted stock unit award related to the minimum tax withholding obligation.
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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.33 to $1.49, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted for tax and planning purposes.
Shares withheld from the quarterly vesting of a June 2013 restricted stock unit award related to the minimum tax withholding obligation.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.315 to $1.38, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation.
Securities beneficially owned are comprised of: (1) 580,765 shares of common stock owned, (2) 173,760 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 147,140 that vest quarterly over a four-year period from grant date.
/s/ Laura K. Campbell, as attorney-in-fact for Gil Van Bokkelen
2015-09-21