0001144204-16-126311.txt : 20160930 0001144204-16-126311.hdr.sgml : 20160930 20160930163113 ACCESSION NUMBER: 0001144204-16-126311 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160929 FILED AS OF DATE: 20160930 DATE AS OF CHANGE: 20160930 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: 161913182 MAIL ADDRESS: STREET 1: 13 FOX MEADOW RD CITY: SCARSDALE STATE: NY ZIP: 10583 4 1 v449793_4.xml OWNERSHIP DOCUMENT X0306 4 2016-09-29 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 Stock Option 4.77 2016-09-29 4 A 0 17199 0 A 2016-09-29 2026-09-29 Common Stock 17199 17199 D These stock options were granted upon the Company's Compensation Committee approval on September 29, 2016, in consideration of the unpaid portion of the reporting person's discretionary 2015 target bonus. Senior Vice President, Clinical, Medical and Regulatory Affairs and Chief Medical Officer. /s/ Douglas W. Losordo, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact 2016-09-30