Key facts
- This page summarizes Kenneth Traub's Form 4 filing for ATHERSYS, INC / NEW.
- 2 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 20 Sep 2022, 13:44.
Kenneth Traub - 16 Sep 2022 Form 4 Insider Report for ATHERSYS, INC / NEW
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 16 Sep 2022
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 20 Sep 2022, 13:44:39 UTC
- Prior SEC filing
- 16 Jun 2022
- Next SEC filing
- 28 Jun 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Barb Cameron, as attorney-in-fact for Kenneth Traub
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Kenneth Traub filed Form 4 for ATHERSYS, INC / NEW on 20 Sep 2022.
Change
- Previous filing in this sequence was filed on 16 Jun 2022.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
ATHX
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +12,820
- Change %
- +136%
- Price
- $0.000000
- Shares after
- 22,223
- Date
- 16 Sep 2022
- Ownership
- Direct
- Footnotes
- F1, F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ATHX
transaction
Derivative
Stock Option (right to purchase)
Award
- Transaction value
- $0
- Shares
- +32,042
- Change %
- Price
- $0.000000
- Shares after
- 32,042
- Date
- 16 Sep 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 32,042
- Exercise price
- $1.95
- Footnotes
- F3
ATHX
holding
Derivative
Stock Option (right to purchase)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 4,000
- Date
- 16 Sep 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 4,000
- Exercise price
- $63.25
- Footnotes
- F4, F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
Represents the exempt acquisition of 12,820 restricted stock units that in general will vest in total on December 31, 2022, subject generally to the Reporting Person's continued service on the Issuer's Board of Directors.
Footnote F2
On August 26, 2022, the Issuer effected a 1-for-25 reverse stock split of its Common Stock (the "Reverse Stock Split"), resulting in a decrease in the Reporting Person's ownership by 225,690 shares.
Footnote F3
Represents the exempt acquisition of stock options to purchase 32,042 shares of the Issuer's Common Stock at a per share exercise price of $1.95. These stock options in general will vest on July 28, 2023, subject generally to the Reporting Person's continued service on the Issuer's Board of Directors.
Footnote F4
This option has been adjusted to reflect the Reverse Stock Split (in prior reports, this option was previously reported as covering a number of shares equal to this reported amount times 25 (and at an exercise price equal to this reported exercise price divided by 25)).
Footnote F5
Award of a nonqualified stock option. The option vests one-third on February 17, 2022 and thereafter ratably on a quarterly basis over a two-year period.