0001144204-16-109550.txt : 20160623
0001144204-16-109550.hdr.sgml : 20160623
20160623175300
ACCESSION NUMBER: 0001144204-16-109550
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: Pecora Andrew L
CENTRAL INDEX KEY: 0001510184
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 161729446
MAIL ADDRESS:
STREET 1: C/O NEOSTEM, INC.
STREET 2: 420 LEXINGTON AVENUE, SUITE 450
CITY: NEW YORK
STATE: NY
ZIP: 10170
4
1
v442767_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-06-22
0
0000320017
Caladrius Biosciences, Inc.
CLBS
0001510184
Pecora Andrew L
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
393784
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.
Andrew L. Pecora, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact
2016-06-23