William O Lehmann - 17 Sep 2021 Form 4 Insider Report for ATHERSYS, INC / NEW

Role
Interim CEO, President, COO
Signature
/s/ Ivor Macleod, as attorney-in-fact for William O. Lehmann
Issuer symbol
N/A
Transactions as of
17 Sep 2021
Net transactions value
-$54,404
Form type
4
Filing time
21 Sep 2021, 17:01:38 UTC
Previous filing
21 Jun 2021
Next filing
28 Oct 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATHX Common Stock Tax liability $12,104 -8,234 -1.6% $1.47 501,287 17 Sep 2021 Direct F1
transaction ATHX Common Stock Sale $42,300 -30,000 -6% $1.41 471,287 20 Sep 2021 Direct F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 $1.40 to $1.44, inclusive, in accordance with a previously established Rule 10b5-1 trading plan.
F4 Securities beneficially owned are comprised of (1) 197,521 shares of common stock owned and (2) unvested restricted stock units aggregating 273,766 related to annual awards, which vest quarterly over a four-year period from date of grant.