ATHERSYS, INC / NEW Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-11-12: Reporting owner Kalin Katherine Bach; Form 4; Security NonQualified Stock Option (right to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-11-12: Reporting owner Wasman Jane; Form 4; Security NonQualified Stock Option (right to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-11-12: Reporting owner Shah Baiju R.; Form 4; Security NonQualified Stock Option (right to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-06-18: Reporting owner Randall Lorin; Form 4; Security NonQualified 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-11-12 | Kalin Katherine Bach Director | 4 | NonQualified Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.88 exercise price | 2020-11-17 | |
| 2020-11-12 | Wasman Jane Director | 4 | NonQualified Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.88 exercise price | 2020-11-16 | |
| 2020-11-12 | Shah Baiju R. Director | 4 | NonQualified Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.88 exercise price | 2020-11-16 | |
| 2020-06-18 | Randall Lorin Director | 4 | 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 | $2.87 exercise price | 2020-06-19 | |
| 2020-06-18 | Campbell Laura K Officer (Senior Vice Pres Finance) | 4 | Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +198,000 198,000 owned after | $2.87 exercise price | 2020-06-18 | |
| 2020-06-18 | Harrington John J Director, Officer (Exec Vice Pres and CSO) | 4 | Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $2.87 exercise price | 2020-06-18 | |
| 2020-06-18 | Van Bokkelen Gil Director, Officer (Chairman and CEO) | 4 | Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +525,000 525,000 owned after | $2.87 exercise price | 2020-06-18 | |
| 2020-06-18 | Lehmann William JR Officer (President and COO) | 4 | Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $2.87 exercise price | 2020-06-18 | |
| 2020-06-18 | TRAUB KENNETH H Director | 4 | NonQualified Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.87 exercise price | 2020-06-18 | |
| 2020-06-18 | WYSZOMIERSKI JACK L Director | 4 | 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 | $2.87 exercise price | 2020-06-18 | |
| 2020-06-18 | Babiss Lee Director | 4 | 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 | $2.87 exercise price | 2020-06-18 | |
| 2020-06-18 | Kola Ismail Director | 4 | 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 | $2.87 exercise price | 2020-06-18 | |
| 2020-01-31 | Macleod ivor Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | $1.36 exercise price | 2020-02-03 |