0001144204-16-109546.txt : 20160623 0001144204-16-109546.hdr.sgml : 20160623 20160623175013 ACCESSION NUMBER: 0001144204-16-109546 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160622 FILED AS OF DATE: 20160623 DATE AS OF CHANGE: 20160623 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: 106 ALLEN ROAD STREET 2: FOURTH FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 BUSINESS PHONE: 908-842-0100 MAIL ADDRESS: STREET 1: 106 ALLEN ROAD STREET 2: FOURTH FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 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: KLOSK STEVEN M CENTRAL INDEX KEY: 0001192621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 161729427 MAIL ADDRESS: STREET 1: C/O CAMBREX CORP STREET 2: ONE MEADOWLANDS PLZ CITY: EAST RUTHERFORD STATE: NJ ZIP: 07073 4 1 v442765_4.xml OWNERSHIP DOCUMENT X0306 4 2016-06-22 0 0000320017 Caladrius Biosciences, Inc. CLBS 0001192621 KLOSK STEVEN M C/O CALADRIUS BIOSCIENCES, INC. 106 ALLEN ROAD BASKING RIDGE NJ 07920 1 0 0 0 Common Stock 2016-06-22 4 A 0 7500 0 A 48500 D Options to Purchase Common Stock 0.516 2016-06-22 4 A 0 12500 0 A 2017-06-22 2026-06-22 Common Stock 12500 12500 D Represents 7,500 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on June 22, 2017. Includes 9,000 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 25, 2017 and 7,500 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on June 22, 2017. Steven M. Klosk, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact 2016-06-23