ATHERSYS, INC / NEW Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2022-12-29: Form 8-K; Period of report 2022-12-22; Description 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; Details 3.01.
- 2022-11-15: Form 8-K; Period of report 2022-11-15; Description 2.02 Results of Operations and Financial Condition; Details 2.02.
- 2022-11-10: Form 8-K; Period of report 2022-11-07; Description 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events; Details 1.01.
- 2022-11-01: Form 8-K; Period of report 2022-10-31; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2022-12-29 | 8-K | 2022-12-22 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On December 22, 2022, Athersys, Inc. (the “Company”) received a written notice (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) that the Company is not in compliance with the requirement to maintain a minimum closing bid price of $1.00 per share, as set forth in Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Requirement”), because the closing bid price of the Company’s common stock (the “Common Stock”) was below $1.00 per share for 30 consecutive business days. | athx-20221222.htm |
| 2022-11-15 | 8-K | 2022-11-15 | 2.02 Results of Operations and Financial Condition | 2.02 On November 15, 2022, Athersys, Inc. issued a press release announcing financial results for its third quarter ended September 30, 2022. | athx-20221115.htm |
| 2022-11-10 | 8-K | 2022-11-07 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On November 7, 2022, the Company issued a press release announcing the proposed public offering of its securities. | d369732d8k.htm |
| 2022-11-01 | 8-K | 2022-10-31 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On October 31, 2022, Kenneth H. Traub provided notice to Athersys, Inc. (the “Company”) that he is resigning from the Board of Directors of the Company effective immediately. | athx-20221031.htm |
| 2022-10-20 | 8-K | 2022-10-14 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On October 14, 2022, Athersys, Inc. (the “Company”) received a written notice (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) that the Company is not in compliance with the requirement to maintain a minimum market value of listed securities of $35 million, as set forth in Nasdaq Listing Rule 5550(b)(2) (the “Market Value Standard”), because the market value of the Company’s common stock (the “Common Stock”) was below $35 million for 30 consecutive business days. | athx-20221014.htm |
| 2022-09-22 | 8-K | 2022-09-22 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities | 1.01 Entry into a Material Definitive Agreement. 3.02 The disclosures included in Item 1.01 above are incorporated by reference in their entirety into this Item 3.02. | athx-20220922.htm |
| 2022-09-14 | 8-K | 2022-09-13 | 8.01 Other Events | 8.01 On September 13, 2022, Nasdaq notified the Company that the bid price of the Common Stock closed at or above $1.00 per share for a minimum of ten consecutive trading days and that the Company had regained compliance with the Bid Price Requirement. | athx-20220913.htm |
| 2022-09-12 | 8-K | 2022-09-08 | 8.01 Other Events | 8.01 Athersys, Inc. (“we” or the “Company”) has a licensing agreement with HEALIOS K.K. (“Healios”) to primarily develop and commercialize our cell therapy technologies for certain disease indications in Japan. | athx-20220912x8k.htm |
| 2022-08-29 | 8-K | 2022-08-26 | 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 3.03 On August 26, 2022, Athersys, Inc. (the “Company”) filed a Certificate of Amendment (the “Certificate of Amendment”) to its Certificate of Incorporation, as amended, in order to effect a one-for-twenty-five reverse stock split (the “Reverse Stock Split”) of the Company’s common stock, par value $0.001 per share (“Common Stock”). 5.03 The disclosures included in Item 3.03 above are incorporated by reference in their entirety into this Item 5.03. | athx-20220826.htm |
| 2022-08-17 | 8-K | 2022-08-15 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | athx-20220815.htm |
| 2022-08-11 | 8-K | 2022-08-11 | 2.02 Results of Operations and Financial Condition | 2.02 On August 11, 2022, Athersys, Inc. issued a press release announcing financial results for its second quarter ended June 30, 2022. | athx-20220811.htm |
| 2022-08-04 | 8-K | 2022-07-29 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On August 4, 2022, Athersys, Inc. (the “Company”) announced that the Board of Directors of the Company has appointed Kasey Rosado as interim Chief Financial Officer of the Company, effective as of July 29, 2022. | athx-20220729.htm |
| 2022-08-02 | 8-K | 2022-07-28 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.07 Submission of Matters to a Vote of Security Holders | 5.02 At the Annual Meeting of Stockholders of Athersys, Inc. (the “Company”), postponed to July 28, 2022 (the “Annual Meeting”), the stockholders of the Company, upon recommendation of the Company’s Board of Directors (the “Board”), approved the amendment and restatement of the Athersys, Inc. 2019 Equity and Incentive Compensation Plan (the “Plan”). 5.07 Set forth below are the voting results for each of the matters submitted to a vote of the Company's stockholders at the Annual Meeting. | athx-20220728.htm |
| 2022-07-08 | 8-K | 2022-07-01 | 1.02 Termination of a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.02 Following ongoing discussions with Aspire Capital Fund, LLC, an Illinois limited liability company (“Aspire Capital”), on July 6, 2022, Aspire Capital delivered notice to Athersys, Inc., a Delaware corporation (the “Company”), terminating the Common Stock Purchase Agreement, dated May 12, 2022 (the “Purchase Agreement”), by and between the Company and Aspire Capital, effective immediately. 5.02 Effective July 1, 2022, the Company designated Daniel Camardo, age 54, as the Company’s principal financial officer and principal accounting officer while the Company searches for a new permanent Chief Financial Officer. | athx-20220701.htm |
| 2022-06-21 | 8-K | 2022-06-16 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On June 16, 2022, John J. Harrington, a member of the Board of Directors (the “Board”) of Athersys, Inc. (the “Company”), notified the Company of his resignation from the Board, effective immediately. | athx-20220620x8k.htm |
| 2022-06-09 | 8-K | 2022-06-06 | 5.08 Shareholder Director Nominations; 8.01 Other Events | 5.08 The information set forth under below Item 8.01 of this Current Report on Form 8-K is incorporated by reference into this Item 5.08, to the extent applicable. 8.01 On June 6, 2022, the Board of Directors (the “Board”) of Athersys, Inc. (the “Company”) approved the postponement of the Company’s 2022 Annual Meeting of Stockholders (the “2022 Annual Meeting”), previously scheduled for Wednesday, June 15, 2022. | athx-20220606.htm |
| 2022-06-02 | 8-K | 2022-05-25 | 2.05 Costs Associated with Exit or Disposal Activities; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 8.01 Other Events | 2.05 On May 25, 2022, the Board of Directors (the “Board”) of Athersys, Inc. (the “Company”) approved a corporate restructuring plan (the “Plan”) furthering its ongoing efforts to align Company resources with its current strategy and operations. 5.02 On May 31, 2022, the Company notified Mr. William (BJ) Lehmann, the Company’s President, Chief Operating Officer and Secretary, of the cessation of his employment as part of the Plan, effective immediately. 8.01 On May 20, 2022, the Company issued a press release related to the results of the TREASURE study, the clinical trial of its partner in Japan, HEALIOS K.K., evaluating the safety and efficacy of administration of the Company’s MultiStem cell therapy for the treatment of ischemic stroke. | athx-20220525.htm |
| 2022-05-12 | 8-K | 2022-05-12 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | athx-20220512.htm |
| 2022-05-06 | 8-K | 2022-05-06 | 2.02 Results of Operations and Financial Condition | 2.02 On May 6, 2022, Athersys, Inc. issued a press release announcing financial results for its first quarter ended March 31, 2022. | athx-20220506.htm |
| 2022-04-28 | 8-K | 2022-04-22 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On April 22, 2022, Baiju Shah, a member of the Board of Directors (the “Board”) of Athersys, Inc. (the “Company”), notified the Company that he will not stand for reelection as a director upon expiration of his current term, which is scheduled to expire at the Company’s 2022 annual meeting of stockholders (the “2022 Annual Meeting”). | athx-20220422.htm |
| 2022-03-24 | 8-K | 2022-03-18 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 8.01 Other Events | 3.01 The Notice provided that, in accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has a period of 180 calendar days from the date of the Notice, or until September 14, 2022, to regain compliance with the Bid Price Requirement. 8.01 Exhibit 4.1 to this Current Report on Form 8-K sets forth an updated description of the Company's securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, and is incorporated herein by reference. | athx-20220318.htm |
| 2022-03-15 | 8-K | 2022-03-15 | 2.02 Results of Operations and Financial Condition | 2.02 On March 15, 2022, Athersys, Inc. issued a press release announcing financial results for its fourth quarter and full year ended December 31, 2021. | athx-20220315.htm |
| 2022-02-11 | 8-K | 2022-02-08 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | athx-20220208.htm | |
| 2022-01-21 | 8-K | 2022-01-14 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On January 20, 2022, Athersys, Inc. (the "Company", "we", "us", or "our") announced that the Board of Directors of the Company (the “Board”) appointed Daniel A. Camardo to the Board and also named Mr. Camardo as the Company’s Chief Executive Officer, each effective as of February 14, 2022. | athx-20220114.htm |