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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Athersys Inc | NASDAQ:ATHX | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.1018 | 0.101 | 0.104 | 0 | 01:00:00 |
Kenton King, Esq.
Skadden, Arps, Slate, Meagher & Flom LLP
525 University Avenue
Palo Alto, CA 94301
(650) 470-4500
|
Kenji Taneda, Esq.
Skadden, Arps, Slate, Meagher & Flom LLP
Izumi Garden Tower, 37th Floor
1-6-1, Roppongi, Minato-ku
Tokyo 106-6037, Japan
+81-3-3568-2626
|
CUSIP No. 0474L106
|
|
13D
|
|
Page 2 of 6 Pages
|
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1.
|
|
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
HEALIOS K.K. |
|
|
||||||||
2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions) (a) ☐ (b) ☐ |
|
|
||||||||
3.
|
|
SEC USE ONLY
|
|
|
||||||||
4.
|
|
SOURCE OF FUNDS (see instructions)
WC |
|
|
||||||||
5.
|
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
|
|
||||||||
6.
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Japan |
|
|
||||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
|
7.
|
|
SOLE VOTING POWER
0 |
||||||||
|
8.
|
|
SHARED VOTING POWER
16,310,526 |
|||||||||
|
9.
|
|
SOLE DISPOSITIVE POWER
0 |
|||||||||
|
10.
|
|
SHARED DISPOSITIVE POWER
16,310,526 |
|||||||||
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
16,310,526 |
|
|
||||||||
12.
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(see instructions) ☐ |
|
|
||||||||
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.3%(1) |
|
|
||||||||
14.
|
|
TYPE OF REPORTING PERSON (see instructions)
CO |
|
|
(1) |
Based on 197,699,500 shares of Common Stock outstanding as of November 5, 2020, as reported on the Issuer’s most recent filing on Form 10-Q.
|
CUSIP No. 0474L106
|
|
13D
|
|
Page 3 of 6 Pages
|
1.
|
|
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Tadahisa Kagimoto(2) |
|
|
||||
2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions) (a) ☐ (b) ☐ |
|
|
||||
3.
|
|
SEC USE ONLY
|
|
|
||||
4.
|
|
SOURCE OF FUNDS (see instructions)
AF |
|
|
||||
5.
|
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
|
|
||||
6.
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Japan |
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
|
7.
|
|
SOLE VOTING POWER
0 |
||||
|
8.
|
|
SHARED VOTING POWER
16,310,526 |
|||||
|
9.
|
|
SOLE DISPOSITIVE POWER
0 |
|||||
|
10.
|
|
SHARED DISPOSITIVE POWER
16,310,526 |
|||||
11.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
16,310,526 |
|
|
||||
12.
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(see instructions) ☐ |
|
|
||||
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.3%(3) |
|
|
||||
14.
|
|
TYPE OF REPORTING PERSON (see instructions)
IN |
|
|
(2) |
The reporting person may be deemed to have beneficial ownership of shares of Common Stock solely through his interest in HEALIOS K.K.
|
(3) |
Based on 197,699,500 shares of Common Stock outstanding as of November 5, 2020, as reported on the Issuer’s most recent filing on Form 10-Q.
|
CUSIP No. 0474L106
|
|
13D
|
|
Page 4 of 6 Pages
|
CUSIP No. 0474L106
|
|
13D
|
|
Page 5 of 6 Pages
|
HEALIOS K.K.
|
||||
By:
|
/s/ Hardy TS Kagimoto
|
|||
Name:
|
Hardy TS Kagimoto
|
|||
Title:
|
Chairman & CEO
|
|||
HARDY TS KAGIMOTO
|
||||
By:
|
/s/ Hardy TS Kagimoto
|
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