0001368148-20-000073.txt : 20200618 0001368148-20-000073.hdr.sgml : 20200618 20200618204242 ACCESSION NUMBER: 0001368148-20-000073 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200617 FILED AS OF DATE: 20200618 DATE AS OF CHANGE: 20200618 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lehmann William JR CENTRAL INDEX KEY: 0001402609 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33876 FILM NUMBER: 20974010 MAIL ADDRESS: STREET 1: 3201 CARNEGIE AVENUE CITY: CLEVELAND STATE: OH ZIP: 44115 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_159252734529017.xml FORM 4 X0306 4 2020-06-17 0 0001368148 ATHERSYS, INC / NEW ATHX 0001402609 Lehmann William JR 3201 CARNEGIE AVENUE CLEVELAND OH 44115-2634 0 1 0 0 President and COO Common Stock 2020-06-17 4 F 0 14925 2.94 D 410720 D Common Stock 2020-06-18 4 A 0 133333 0 A 544053 D Common Stock 2020-06-18 4 S 0 20000 2.8588 D 524053 D Stock Option (right to purchase) 2.87 2020-06-18 4 A 0 300000 0 A 2030-06-18 Common Stock 300000.0 300000 D 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. /s/ Laura K. Campbell, as attorney-in-fact for William O. Lehmann 2020-06-18