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