ATHERSYS, INC / NEW Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 43 rows, 43 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-04-02: Reporting owner Kagimoto Tadahisa; Form 4; Security Warrant (right to purchase); Transaction J Other acquisition or disposition (describe transaction).
- 2020-04-02: Reporting owner Kagimoto Tadahisa; Form 4; Security Warrant (right to purchase); Transaction J Other acquisition or disposition (describe transaction).
- 2020-04-02: Reporting owner HEALIOS K.K.; Form 4; Security Warrant (right to purchase); Transaction J Other acquisition or disposition (describe transaction).
- 2018-07-02: Reporting owner HEALIOS K.K.; Form 3; Security Warrant (right to purchase); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-04-02 | Kagimoto Tadahisa Director | 4 | Warrant (right to purchase) Derivative · Indirect · Healios | J Other acquisition or disposition (describe transaction) | +4,000,000 0 owned after | no price filed | 2020-05-15 | |
| 2020-04-02 | Kagimoto Tadahisa Director | 4 | Warrant (right to purchase) Derivative · Indirect · Healios | J Other acquisition or disposition (describe transaction) | +4,000,000 0 owned after | no price filed | 2020-04-02 | |
| 2020-04-02 | HEALIOS K.K. Other (See Remarks) | 4 | Warrant (right to purchase) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,000,000 0 owned after | no price filed | 2020-04-02 | |
| 2018-07-02 holding as of filing | HEALIOS K.K. 10% Owner | 3 | Warrant (right to purchase) Derivative · Direct | Holding | no price filed | 2018-07-02 | ||
| 2018-07-02 holding as of filing | Kagimoto Tadahisa Director, 10% Owner | 3 | Warrant (right to purchase) Derivative · Indirect · Healios | Holding | no price filed | 2018-07-02 | ||
| 2007-06-26 holding as of filing | Caduceus Private Investment III LP 10% Owner | 3 | Warrant (right to purchase) Derivative · Direct | Holding | $6.00 exercise price | 2007-06-26 | ||
| 2007-06-12 holding as of filing | Radius Venture Partners III QP, L.P. | LUBIN DANIEL C | Davis Jordan | RADIUS VENTURE PARTNERS II LP | RADIUS VENTURE PARTNERS III L P | Radius Venture Partners II, LLC | Radius Venture Partners III, LLC 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to purchase) Derivative · Direct | Holding | $6.00 exercise price | 2007-06-12 | ||
| 2007-06-12 holding as of filing | Radius Venture Partners III QP, L.P. | LUBIN DANIEL C | Davis Jordan | RADIUS VENTURE PARTNERS II LP | RADIUS VENTURE PARTNERS III L P | Radius Venture Partners II, LLC | Radius Venture Partners III, LLC 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to purchase) Derivative · Direct | Holding | $6.00 exercise price | 2007-06-12 | ||
| 2007-06-12 holding as of filing | Radius Venture Partners III QP, L.P. | LUBIN DANIEL C | Davis Jordan | RADIUS VENTURE PARTNERS II LP | RADIUS VENTURE PARTNERS III L P | Radius Venture Partners II, LLC | Radius Venture Partners III, LLC 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to purchase) Derivative · Direct | Holding | $6.00 exercise price | 2007-06-12 | ||
| 2007-06-12 holding as of filing | Radius Venture Partners III QP, L.P. | LUBIN DANIEL C | Davis Jordan | RADIUS VENTURE PARTNERS II LP | RADIUS VENTURE PARTNERS III L P | Radius Venture Partners II, LLC | Radius Venture Partners III, LLC 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to purchase) Derivative · Direct | Holding | $6.00 exercise price | 2007-06-12 | ||
| 2007-06-12 holding as of filing | Radius Venture Partners III QP, L.P. | LUBIN DANIEL C | Davis Jordan | RADIUS VENTURE PARTNERS II LP | RADIUS VENTURE PARTNERS III L P | Radius Venture Partners II, LLC | Radius Venture Partners III, LLC 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to purchase) Derivative · Direct | Holding | $6.00 exercise price | 2007-06-12 | ||
| 2007-06-12 holding as of filing | Radius Venture Partners III QP, L.P. | LUBIN DANIEL C | Davis Jordan | RADIUS VENTURE PARTNERS II LP | RADIUS VENTURE PARTNERS III L P | Radius Venture Partners II, LLC | Radius Venture Partners III, LLC 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to purchase) Derivative · Direct | Holding | $6.00 exercise price | 2007-06-12 | ||
| 2007-06-08 | SHEFFERY MICHAEL B Director | 4 | Warrant (right to buy) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | −750,000 750,000 owned after | $6.00 exercise price | 2008-05-23 | |
| 2007-06-08 | ORBIMED ADVISORS LLC | ISALY SAMUEL D Director, 10% Owner | Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | −750,000 750,000 owned after | $6.00 exercise price | 2008-05-23 | |
| 2007-06-08 | SHEFFERY MICHAEL B Director | 4 | Warrant (right to buy) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | −750,000 750,000 owned after | $6.00 exercise price | 2008-05-21 | |
| 2007-06-08 | ISALY SAMUEL D | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | −750,000 750,000 owned after | $6.00 exercise price | 2008-05-21 | |
| 2007-06-08 | SHEFFERY MICHAEL B Director | 4 | Warrant (right to buy) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | −750,000 750,000 owned after | $6.00 exercise price | 2008-05-15 | |
| 2007-06-08 | ISALY SAMUEL D | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | −750,000 750,000 owned after | $6.00 exercise price | 2008-05-15 | |
| 2007-06-08 | Van Bokkelen Gil Director, Officer (Chief Executive Officer) | 4 | Warrants (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,318 5,318 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Van Bokkelen Gil Director, Officer (Chief Executive Officer) | 4 | Bridge warrants (right to purchase) Derivative · Direct | C Conversion of derivative security | −39,999 0 owned after | $0.01 exercise price | 2007-06-12 | |
| 2007-06-08 | MULLIGAN WILLIAM C Director | 4 | Warrants (right to purchase) Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,589 26,589 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MULLIGAN WILLIAM C Director | 4 | Bridge warrants (right to purchase) Derivative · Indirect · (m) | C Conversion of derivative security | −199,998 0 owned after | $0.01 exercise price | 2007-06-12 | |
| 2007-06-08 | Harrington John J Director, Officer (Chief Scientific Officer) | 4 | Warrants (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,318 5,318 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Harrington John J Director, Officer (Chief Scientific Officer) | 4 | Bridge warrants (right to purchase) Derivative · Direct | C Conversion of derivative security | −39,999 0 owned after | $0.01 exercise price | 2007-06-12 | |
| 2007-06-08 | Campbell Laura K Officer (Vice President) | 4 | Warrants (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +266 266 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | Campbell Laura K Officer (Vice President) | 4 | Bridge warrants (right to purchase) Derivative · Direct | C Conversion of derivative security | −1,999 0 owned after | $0.01 exercise price | 2007-06-12 | |
| 2007-06-08 | Lehmann William JR Officer (President) | 4 | Warrant (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,250 1,250 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | SHEFFERY MICHAEL B Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +750,000 750,000 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | LOOP FLOYD D MD Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +200,000 200,000 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | LOOP FLOYD D MD Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +25,941 225,941 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | LOOP FLOYD D MD Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +174,059 400,000 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | LOOP FLOYD D MD Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +200,000 200,000 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | LOOP FLOYD D MD Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +25,942 225,942 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | LOOP FLOYD D MD Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +174,058 400,000 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MILNE GEORGE M JR Director | 4 | Warrant (right to purchase) Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +2,500 2,500 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MILNE GEORGE M JR Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +200,000 200,000 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MILNE GEORGE M JR Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +25,941 225,941 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MILNE GEORGE M JR Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +174,059 400,000 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MILNE GEORGE M JR Director | 4 | Warrant (right to purchase) Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +2,500 2,500 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MILNE GEORGE M JR Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +200,000 200,000 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MILNE GEORGE M JR Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +25,942 225,942 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | MILNE GEORGE M JR Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +174,058 400,000 owned after | $6.00 exercise price | 2007-06-12 | |
| 2007-06-08 | ORBIMED ADVISORS LLC Director, 10% Owner | 4 | Warrant (right to purchase) Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | −750,000 750,000 owned after | $6.00 exercise price | 2007-06-12 |