0001368148-22-000135.txt : 20220920
0001368148-22-000135.hdr.sgml : 20220920
20220920134439
ACCESSION NUMBER: 0001368148-22-000135
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220916
FILED AS OF DATE: 20220920
DATE AS OF CHANGE: 20220920
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRAUB KENNETH H
CENTRAL INDEX KEY: 0001232602
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33876
FILM NUMBER: 221252980
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
4
1
wf-form4_166369586555017.xml
FORM 4
X0306
4
2022-09-16
0
0001368148
ATHERSYS, INC / NEW
ATHX
0001232602
TRAUB KENNETH H
3201 CARNEGIE AVENUE
CLEVELAND
OH
44115-2634
1
0
0
0
Common Stock
2022-09-16
4
A
0
12820
0
A
22223
D
Stock Option (right to purchase)
1.95
2022-09-16
4
A
0
32042
0
A
2032-09-16
Common Stock
32042.0
32042
D
Stock Option (right to purchase)
63.25
2031-02-17
Common Stock
4000.0
4000
D
Represents the exempt acquisition of 12,820 restricted stock units that in general will vest in total on December 31, 2022, subject generally to the Reporting Person's continued service on the Issuer's Board of Directors.
On August 26, 2022, the Issuer effected a 1-for-25 reverse stock split of its Common Stock (the "Reverse Stock Split"), resulting in a decrease in the Reporting Person's ownership by 225,690 shares.
Represents the exempt acquisition of stock options to purchase 32,042 shares of the Issuer's Common Stock at a per share exercise price of $1.95. These stock options in general will vest on July 28, 2023, subject generally to the Reporting Person's continued service on the Issuer's Board of Directors.
This option has been adjusted to reflect the Reverse Stock Split (in prior reports, this option was previously reported as covering a number of shares equal to this reported amount times 25 (and at an exercise price equal to this reported exercise price divided by 25)).
Award of a nonqualified stock option. The option vests one-third on February 17, 2022 and thereafter ratably on a quarterly basis over a two-year period.
/s/ Barb Cameron, as attorney-in-fact for Kenneth Traub
2022-09-20