Form Type: 4

SEC EDGAR Link
Accession Number:0001368148-21-000087
Date:2021-06-17
Issuer: ATHERSYS, INC / NEW (ATHX)
Original Submission Date:

Reporting Person:

LEHMANN WILLIAM JR
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 2021-06-17 F 12,648 d $1.55 539,521 direct
COMMON STOCK 2021-06-18 S 30,000 d $1.54 509,521 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 withheld from the quarterly vesting of annual restricted stock unit awards related to the tax withholding obligation.
f2 shares sold pursuant to a predefined rule 10b5-1 trading plan.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $1.51 to $1.565, inclusive, in accordance with a previously established rule 10b5-1 trading plan.
f4 securities beneficially owned are comprised of (1) 210,932 shares of common stock owned and (2) unvested restricted stock units aggregating 298,589 related to annual awards, which vest quarterly over a four-year period from date of grant.

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