Form Type: 4

SEC EDGAR Link
Accession Number:0001368148-21-000062
Date:2021-06-08
Issuer: ATHERSYS, INC / NEW (ATHX)
Original Submission Date:

Reporting Person:

HARRINGTON JOHN J
3201 CARNEGIE AVENUE
CLEVELAND, OH 44115-2634

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-06-08 S 27,107 d $1.75 672,395 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 shares sold pursuant to a previously established and predefined rule 10b5-1 trading plan.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $1.75 to $1.77, inclusive, in accordance with a previously established rule 10b5-1 trading plan.
f3 securities beneficially owned are comprised of (1) 507,138 shares of common stock owned and (2) unvested restricted stock units aggregating 165,257 related to annual awards, which vest quarterly over a three or four-year period from date of grant.

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