William Lehmann JR - Sep 17, 2021 Form 4 Insider Report for ATHERSYS, INC / NEW (ATHX)

Role
Interim CEO, President, COO
Signature
/s/ Ivor Macleod, as attorney-in-fact for William O. Lehmann
Stock symbol
ATHX
Transactions as of
Sep 17, 2021
Transactions value $
-$54,404
Form type
4
Date filed
9/21/2021, 05:01 PM
Previous filing
Jun 21, 2021
Next filing
Oct 28, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATHX Common Stock Tax liability -$12.1K -8.23K -1.62% $1.47 501K Sep 17, 2021 Direct F1
transaction ATHX Common Stock Sale -$42.3K -30K -5.98% $1.41 471K Sep 20, 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.