Form D

View Original Filing

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
ATHERSYS, INC / NEW
Jurisdiction of Incorporation/Organization
DE
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

  • BTHC VI, INC
  • BTHC VI INC
Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

3201 CARNEGIE AVENUE
CLEVELAND, OH 44115-2634
Phone Number: subscription required

Item 3. Related Persons

Name
GIL VAN BOKKELEN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CHAIRMAN OF THE BOARD OF DIRECTORS AND CHIEF EXECUTIVE OFFICER

Item 3. Related Persons

Name
LAURA K. CAMPBELL
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
VICE PRESIDENT, FINANCE

Item 3. Related Persons

Name
JOHN J. HARRINGTON
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
EXECUTIVE VICE PRESIDENT, CHIEF SCIENTIFIC OFFICER AND DIRECTOR

Item 3. Related Persons

Name
LEE E. BABISS
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
ISMAIL KOLA
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
GEORGE M. MILNE
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
LORIN J. RANDALL
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JACK L. WYSZOMLERSKI
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
WILLIAM LEHMANN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
PRESIDENT, CHIEF OPERATING OFFICER AND SECRETARY

Item 4. Industry Group

BIOTECHNOLOGY

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
$5,000,001 - $25,000,000

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

New Notice
Date of First Sale in this Offering:
03/09/2012

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
No

Item 9. Type(s) of Securities Offered

  • Equity
  • Option, Warrant or Other Right to Acquire Another Security
  • Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security

Item 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response

Item 11. Minimum Investment

Minimum Investment accepted from any outside investor
20000

Item 12. Sales Compensation

Recipient
PIPER JAFFRAY CO.
Recipient CRD Number
665
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
345 PARK AVENUE
NEW YORK, NY 10154
States of Solicitation
  • IL
  • NJ
  • NY
  • OH
  • PA

Item 12. Sales Compensation

Recipient
WILLIAM BLAIR COMPANY
Recipient CRD Number
1252
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
222 WEST ADAMS STREET
CHICAGO, IL 60606
States of Solicitation
  • IL
  • NJ
  • NY
  • OH
  • PA

Item 12. Sales Compensation

Recipient
FIRST ANALYSIS SECURITIES CORPORATION
Recipient CRD Number
10446
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
ONE SOUTH WACKER DRIVE
SUITE 3900
CHICAGO, IL 60606
States of Solicitation
  • IL
  • NJ
  • NY
  • OH
  • PA

Item 12. Sales Compensation

Recipient
WBB SECURITIES, LLC
Recipient CRD Number
118440
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
16835 WEST BERNARDO DRIVE
SUITE 120
SAN DIEGO, CA 92127
States of Solicitation

Item 13. Offering and Sales Amounts

Total Offering Amount
18000004
Total Amount Sold
9000002
Total Remaining to be Sold
9000002
Clarification of Response
THE TOTAL OFFERING AMOUNT INCLUDES AMOUNTS RECEIVABLE BY THE ISSUER UPON THE EXERCISE OF WARRANTS TO PURCHASE ATHERSYS, INC.'S COMMON STOCK, ASSUMING NO CASHLESS EXERCISE. SUCH WARRANTS HAVE NOT YET BEEN EXERCISED.

Item 14. Investors

Securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
20

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
705000.0
Finders' Fees
0.0
Clarification of Response
PIPER JAFFRAY CO. ACTED AS SOLE LEAD PLACEMENT AGENT. WILLIAM BLAIR COMPANY AND FIRST ANALYSIS SECURITIES CORPORATION ACTED AS CO-PLACEMENT AGENTS. WBB SECURITIES, LLC ACTED AS FINANCIAL ADVISOR. THE TOTAL AMOUNT PAID TO THESE ENTITIES WAS $705000.

Item 16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response

Signature and Submission

Issuer Name
ATHERSYS, INC / NEW
Issuer Signature
/S/ LAURA K. CAMPBELL
Signer Name
LAURA K. CAMPBELL
Signer Title
VICE PRESIDENT, FINANCE
Signature Date
03/22/2012
WhaleWisdom Logo

Elevate your investments