0000320017-20-000037.txt : 20200512
0000320017-20-000037.hdr.sgml : 20200512
20200512134411
ACCESSION NUMBER: 0000320017-20-000037
CONFORMED SUBMISSION TYPE: D
PUBLIC DOCUMENT COUNT: 1
ITEM INFORMATION: 06b
FILED AS OF DATE: 20200512
DATE AS OF CHANGE: 20200512
EFFECTIVENESS DATE: 20200512
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CALADRIUS BIOSCIENCES, INC.
CENTRAL INDEX KEY: 0000320017
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090]
IRS NUMBER: 222343568
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: D
SEC ACT: 1933 Act
SEC FILE NUMBER: 021-366733
FILM NUMBER: 20868462
BUSINESS ADDRESS:
STREET 1: 110 ALLEN ROAD
STREET 2: SECOND FLOOR
CITY: BASKING RIDGE
STATE: NJ
ZIP: 07920
BUSINESS PHONE: 908-842-0100
MAIL ADDRESS:
STREET 1: 110 ALLEN ROAD
STREET 2: SECOND FLOOR
CITY: BASKING RIDGE
STATE: NJ
ZIP: 07920
FORMER COMPANY:
FORMER CONFORMED NAME: Caladrius Biosciences, Inc.
DATE OF NAME CHANGE: 20150608
FORMER COMPANY:
FORMER CONFORMED NAME: NeoStem, Inc.
DATE OF NAME CHANGE: 20060906
FORMER COMPANY:
FORMER CONFORMED NAME: PHASE III MEDICAL INC/DE
DATE OF NAME CHANGE: 20030819
D
1
primary_doc.xml
X0708
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LIVE
0000320017
CALADRIUS BIOSCIENCES, INC.
110 ALLEN ROAD
SECOND FLOOR
BASKING RIDGE
NJ
NEW JERSEY
07920
908-842-0100
DELAWARE
Corniche Group Inc./DE
Caladrius Biosciences, Inc.
NeoStem, Inc.
PHASE III MEDICAL INC/DE
Corporation
true
David
J.
Mazzo
c/o Caladrius Biosciences, Inc.
110 Allen Road, 2nd Floor
Basking Ridge
NJ
NEW JERSEY
07920
Executive Officer
Douglas
Losordo
c/o Caladrius Biosciences, Inc.
110 Allen Road, 2nd Floor
Basking Ridge
NJ
NEW JERSEY
07920
Executive Officer
Joseph
Talamo
c/o Caladrius Biosciences, Inc.
110 Allen Road, 2nd Floor
Basking Ridge
NJ
NEW JERSEY
07920
Executive Officer
Steven
M.
Klosk
c/o Caladrius Biosciences, Inc.
110 Allen Road, 2nd Floor
Basking Ridge
NJ
NEW JERSEY
07920
Director
Gregory
B.
Brown
c/o Caladrius Biosciences, Inc.
110 Allen Road, 2nd Floor
Basking Ridge
NJ
NEW JERSEY
07920
Director
Steven
S.
Myers
c/o Caladrius Biosciences, Inc.
110 Allen Road, 2nd Floor
Basking Ridge
NJ
NEW JERSEY
07920
Director
Cynthia
S.
Schwalm
c/o Caladrius Biosciences, Inc.
110 Allen Road, 2nd Floor
Basking Ridge
NJ
NEW JERSEY
07920
Director
Peter
G.
Traber
c/o Caladrius Biosciences, Inc.
110 Allen Road, 2nd Floor
Basking Ridge
NJ
NEW JERSEY
07920
Director
Biotechnology
Decline to Disclose
- 06b
false
2020-04-27
false
true
true
false
0
H.C. Wainwright & Co., LLC
375
None
None
430 Park Avenue
3rd Floor
New York
NY
NEW YORK
10022
IL
ILLINOIS
NY
NEW YORK
false
2432437
2432437
0
false
5
350000
0
Commissions include sale of 2,161,166 shares of common stock for gross proceeds to the Company of approximately $5 million. In addition, the Company paid certain expenses.
0
false
CALADRIUS BIOSCIENCES, INC.
/s/ David J. Mazzo
David J. Mazzo
President and Chief Executive Officer
2020-05-12