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ATHX Athersys Inc

0.1018
0.00 (0.00%)
26 Apr 2024 - Closed
Delayed by 15 minutes
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

Statement of Changes in Beneficial Ownership (4)

01/04/2020 11:02pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Campbell Laura K
2. Issuer Name and Ticker or Trading Symbol

ATHERSYS, INC / NEW [ ATHX ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Senior Vice Pres Finance
(Last)          (First)          (Middle)

3201 CARNEGIE AVENUE
3. Date of Earliest Transaction (MM/DD/YYYY)

3/30/2020
(Street)

CLEVELAND, OH 44115-2634
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 3/30/2020  S  44929 (1)D$2.4001 (2)561005 D  
Common Stock 3/31/2020  S  51483 (1)D$2.9011 (3)509522 D  
Common Stock 4/1/2020  S  47339 (1)D$3.4035 (4)462183 D  
Common Stock 4/1/2020  S  47474 (1)D$3.8111 (5)414709 D  
Common Stock 4/1/2020  S  43081 (1)D$4.2559 (6)371628 (7)D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) Shares sold pursuant to a predefined Rule 10b5-1 trading plan that commenced in July 2018. A predefined number of shares may be sold from time-to-time based on predefined price increases over a two-year period.
(2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.405, inclusive.
(3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.90 to $2.909, inclusive.
(4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.40 to $3.44, inclusive.
(5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.80 to $3.84, inclusive.
(6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.25 to $4.285, inclusive.
(7) Securities beneficially owned are comprised of (1) 250,072 shares of common stock owned and (2) unvested restricted stock units aggregating 121,556 related to annual awards, which vest quarterly over a three or four-year period from date of grant.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Campbell Laura K
3201 CARNEGIE AVENUE
CLEVELAND, OH 44115-2634


Senior Vice Pres Finance

Signatures
/s/ Laura K. Campbell4/1/2020
**Signature of Reporting PersonDate

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