| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/18/2018 | 3. Issuer Name and Ticker or Trading Symbol ATHERSYS, INC / NEW [ ATHX ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 12,000,000(1) | I | HEALIOS K.K. ("Healios") |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Warrant (right to purchase) | 06/06/2018 | 09/01/2020 | Common Stock | 4,000,000(2) | (3) | I | Healios |
| Explanation of Responses: |
| 1. Represents 12,000,000 shares of Common Stock held by Healios. See "Explanation of Responses". |
| 2. Represents tranche of the Warrant providing right to purchase up to 4,000,000 shares of Common Stock held by Healios. See "Explanation of Responses". |
| 3. Greater of $1.76 and 110% of the average closing price per share of Common Stock for the 10 trading days immediately preceding (but not including) the date the Warrant is exercised. |
| Remarks: |
| The reporting person may be deemed to have indirect beneficial ownership of securities that are beneficially owned by Healios, solely through his interest in Healios. For information regarding Healios's beneficial ownership of securities, please refer to Healios's Statement on Schedule 13D, as initially filed on March 23, 2018, which may be amended from time to time, and to Healios's Form 3, as filed on July 2, 2018 (collectively, the "Healios Filings"). Information contained in the Healios Filings is incorporated herein by reference. |
| /s/ Hardy TS Kagimoto | 07/02/2018 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
