0001144204-16-077385.txt : 20160127
0001144204-16-077385.hdr.sgml : 20160127
20160127213728
ACCESSION NUMBER: 0001144204-16-077385
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160125
FILED AS OF DATE: 20160127
DATE AS OF CHANGE: 20160127
ISSUER:
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
BUSINESS ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 350
CITY: NEW YORK
STATE: NY
ZIP: 10170
BUSINESS PHONE: 212-584-4171
MAIL ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 350
CITY: NEW YORK
STATE: NY
ZIP: 10170
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
FORMER COMPANY:
FORMER CONFORMED NAME: CORNICHE GROUP INC /DE
DATE OF NAME CHANGE: 19951117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LOSORDO DOUGLAS W
CENTRAL INDEX KEY: 0001583810
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 161366453
MAIL ADDRESS:
STREET 1: 13 FOX MEADOW RD
CITY: SCARSDALE
STATE: NY
ZIP: 10583
4
1
v429898_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-01-25
0
0000320017
Caladrius Biosciences, Inc.
CLBS
0001583810
LOSORDO DOUGLAS W
C/O CALADRIUS BIOSCIENCES, INC.
106 ALLEN ROAD
BASKING RIDGE
NJ
07920
0
1
0
0
See Remarks
Common Stock
2016-01-25
4
A
0
76000
0
A
134867
D
Common Stock
2016-01-25
4
F
0
8032
0.63
D
126835
D
Options to Purchase Common Stock
0.63
2016-01-25
4
A
0
125000
0
A
2026-01-25
Common Stock
125000
125000
D
Represents 76,000 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. 25% of the shares of restricted stock vest immediately on the grant date and the remaining 75% of the shares of restricted stock will vest quarterly over the following 12 quarters.
Includes 57,000 shares of unvested restricted stock.
25% of the shares underlying the Options vest immediately on the grant date and the remaining 75% of the shares underlying the Options will vest quarterly over the following 12 quarters.
Senior Vice President, Clinical, Medical and Regulatory Affairs and Chief Medical Officer
Douglas W. Losordo, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact
2016-01-27