ATHERSYS, INC / NEW Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-08-18: Reporting owner Randall Lorin; Form 4; Security Director stock option (right to purchase); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-06-17: Reporting owner Deans Robert J; Form 4; Security Employee incentive stock option (right to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-06-17: Reporting owner Van Bokkelen Gil; Form 4; Security Employee incentive stock option (right to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-06-17: Reporting owner Campbell Laura K; Form 4; Security Employee incentive stock option (right to purchase); 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-08-18 | Randall Lorin Director | 4 | Director stock option (right to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $1.35 exercise price | 2014-08-19 | |
| 2014-06-17 | Deans Robert J Officer (Executive Vice President) | 4 | Employee incentive stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +103,840 103,840 owned after | $1.65 exercise price | 2014-06-19 | |
| 2014-06-17 | Van Bokkelen Gil Director, Officer (Chmn & 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) | +207,680 207,680 owned after | $1.65 exercise price | 2014-06-19 | |
| 2014-06-17 | Campbell Laura K Officer (Vice President of Finance) | 4 | Employee incentive stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +103,840 103,840 owned after | $1.65 exercise price | 2014-06-19 | |
| 2014-06-17 | 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) | +121,152 121,152 owned after | $1.65 exercise price | 2014-06-19 | |
| 2014-06-17 | Lehmann William JR Officer (President & COO) | 4 | Employee incentive stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +121,152 121,152 owned after | $1.65 exercise price | 2014-06-19 | |
| 2014-06-17 | TRAUB KENNETH H Director | 4 | Director stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.65 exercise price | 2014-06-19 | |
| 2014-06-17 | Randall Lorin Director | 4 | Director stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.65 exercise price | 2014-06-19 | |
| 2014-06-17 | WYSZOMIERSKI JACK L Director | 4 | Director stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.65 exercise price | 2014-06-19 | |
| 2014-06-17 | Babiss Lee Director | 4 | Director stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.65 exercise price | 2014-06-19 | |
| 2014-06-17 | Kola Ismail Director | 4 | Director stock option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.65 exercise price | 2014-06-19 |