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