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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 |
1. Name and Address of Reporting Person * HEALIOS K.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 _____ Officer (give title below) __X__ Other (specify below) See Remarks |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
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 | 3/13/2018 | J(1) | 12000000 | A | $1.76 | 12000000 | D | |||
Common Stock | 4/2/2020 | J(2) | 4000000 | A | $1.76 | 16000000 | 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 Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (right to purchase) | (3) | 4/2/2020 | J (2) | 4000000 | 6/6/2018 | 9/1/2020 | Common Stock | 4000000 | (3) | 0 | D |
Remarks: For further information regarding HEALIOS K.K.'s ("Healios") beneficial ownership of securities, please refer to Healios's Statement on Schedule 13D, as initially filed on March 23, 2018, which may be amended from time to time (the "Healios Filing"). Information contained in the Healios Filing is incorporated herein by reference. Reporting Person was previously a 10% owner but is no longer. |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
HEALIOS K.K. WORLD TRADE CENTER BLDG. 15F, 2-4-1 HAMAMATSUCHO MINATO-KU, TOKYO, M0 105-6115 | See Remarks |
Signatures | ||
/s/ Hardy TS Kagimoto, Chairman and CEO of HEALIOS K.K. | 4/2/2020 | |
**Signature of Reporting Person | Date |
1 Year Athersys Chart |
1 Month Athersys Chart |
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