0001144204-16-117850.txt : 20160809 0001144204-16-117850.hdr.sgml : 20160809 20160809200702 ACCESSION NUMBER: 0001144204-16-117850 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160805 FILED AS OF DATE: 20160809 DATE AS OF CHANGE: 20160809 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: LOSORDO DOUGLAS W CENTRAL INDEX KEY: 0001583810 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 161819686 MAIL ADDRESS: STREET 1: 13 FOX MEADOW RD CITY: SCARSDALE STATE: NY ZIP: 10583 4 1 v446526_4.xml OWNERSHIP DOCUMENT X0306 4 2016-08-05 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 2016-08-05 4 A 0 1000 0 A 15399 D These shares of common stock represent bonus shares that were granted to the Reporting Person pursuant to his employment agreement with the Issuer, dated as of July 23, 2013. Includes 4,748 shares of unvested restricted stock. Senior Vice President, Clinical, Medical and Regulatory Affairs and Chief Medical Officer. All share numbers and per share prices disclosed in this Form 4 give effect to the Issuer's one-for-ten reverse stock split of its common stock effected on July 28, 2016. /s/ Todd C. Girolamo, Esq., Attorney-in-Fact 2016-08-09