0001209191-14-059062.txt : 20140922 0001209191-14-059062.hdr.sgml : 20140922 20140922183107 ACCESSION NUMBER: 0001209191-14-059062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140918 FILED AS OF DATE: 20140922 DATE AS OF CHANGE: 20140922 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: Deans Robert J CENTRAL INDEX KEY: 0001402611 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33876 FILM NUMBER: 141114811 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-09-18 0 0001368148 ATHERSYS, INC / NEW ATHX 0001402611 Deans Robert J 3201 CARNEGIE AVENUE CLEVELAND OH 44115 0 1 0 0 Executive Vice President Common Stock 2014-09-18 4 F 0 15381 1.44 D 451730 D Common Stock 2014-09-18 4 S 0 2540 1.402 D 449190 D Common Stock 2014-09-19 4 S 0 2540 1.4196 D 446650 D 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 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 $1.36 to $1.47, inclusive, in accordance with a previously established Rule 10b5-1 predefined trading plan enacted solely related to the tax obligation. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.405 to $1.47, 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) 116,865 shares of common stock owned, (2) unvested 286,510 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) unvested estricted stock units awarded on an annual basis amounting to 43,275 that vest quarterly over a four-year period from grant date. /s/ Laura K. Campbell, as attorney-in-fact for Robert J. Deans 2014-09-22