ATHERSYS, INC / NEW Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-09-04: Reporting owner Randall Lorin; Form 4; Security Director stock option (right to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-06-26: Reporting owner Caduceus Private Investment III LP; Form 3; Security Director stock option (right to purchase); Transaction Holding.
- 2007-06-08: Reporting owner SHEFFERY MICHAEL B; Form 4; Security Director's Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-06-08: Reporting owner ORBIMED ADVISORS LLC | ISALY SAMUEL D; Form 4; Security Director's Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-09-04 | Randall Lorin Director | 4 | Director stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $7.80 exercise price | 2007-09-06 | |
| 2007-06-26 holding as of filing | Caduceus Private Investment III LP 10% Owner | 3 | Director stock option (right to purchase) Derivative · Direct | Holding | $5.00 exercise price | 2007-06-26 | ||
| 2007-06-08 | SHEFFERY MICHAEL B Director | 4 | Director's Stock Option (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −75,000 75,000 owned after | $5.00 exercise price | 2008-05-23 | |
| 2007-06-08 | ORBIMED ADVISORS LLC | ISALY SAMUEL D Director, 10% Owner | Director, 10% Owner | 4 | Director's Stock Option (right to buy) Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −75,000 75,000 owned after | $5.00 exercise price | 2008-05-23 | |
| 2007-06-08 | SHEFFERY MICHAEL B Director | 4 | Director's Stock Option (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −75,000 75,000 owned after | $5.00 exercise price | 2008-05-21 | |
| 2007-06-08 | ISALY SAMUEL D | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 4 | Director's Stock Option (right to buy) Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −75,000 75,000 owned after | $5.00 exercise price | 2008-05-21 | |
| 2007-06-08 | SHEFFERY MICHAEL B Director | 4 | Director's Stock Option (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −75,000 75,000 owned after | $5.00 exercise price | 2008-05-15 | |
| 2007-06-08 | ISALY SAMUEL D | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 4 | Director's Stock Option (right to buy) Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −75,000 75,000 owned after | $5.00 exercise price | 2008-05-15 | |
| 2007-06-08 | Davis Jordan Director | 4 | Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Van Bokkelen Gil Director, Officer (Chief Executive Officer) | 4 | Employee nonqualified stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +652,500 652,500 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Van Bokkelen Gil Director, Officer (Chief Executive Officer) | 4 | Employee incentive stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MULLIGAN WILLIAM C Director | 4 | Director nonqualified stock option (right to purchase) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Harrington John J Director, Officer (Chief Scientific Officer) | 4 | Employee nonqualified stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +640,000 640,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Harrington John J Director, Officer (Chief Scientific Officer) | 4 | Employee incentive stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Deans Robert J Officer (Vice President) | 4 | Employee nonqualified stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +180,000 180,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Deans Robert J Officer (Vice President) | 4 | Empoyee incentive stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Brunden Kurt L Officer (Vice President) | 4 | Employee nonqualified stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Campbell Laura K Officer (Vice President) | 4 | Employee nonqualified stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Campbell Laura K Officer (Vice President) | 4 | Employee incentive stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Lehmann William JR Officer (President) | 4 | Employee nonqualified stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +340,000 340,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Lehmann William JR Officer (President) | 4 | Empoyee incentive stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | SHEFFERY MICHAEL B Director | 4 | Director stock option (right to purchase) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | LOOP FLOYD D MD Director | 4 | Director stock option (right to purchase) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MILNE GEORGE M JR Director | 4 | Director stock option (right to purchase) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $5.00 exercise price | 2007-06-12 | |
| 2007-06-08 | ORBIMED ADVISORS LLC Director, 10% Owner | 4 | Director stock option (right to purchase) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −75,000 75,000 owned after | $5.00 exercise price | 2007-06-12 |