0001144204-16-127776.txt : 20161012 0001144204-16-127776.hdr.sgml : 20161012 20161012090647 ACCESSION NUMBER: 0001144204-16-127776 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161010 FILED AS OF DATE: 20161012 DATE AS OF CHANGE: 20161012 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: BROWN GREGORY B CENTRAL INDEX KEY: 0001373585 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 161932505 MAIL ADDRESS: STREET 1: C/O INVUITY, INC. STREET 2: 444 DE HARO STREET CITY: SAN FRANCOSCO STATE: CA ZIP: 94107 4 1 v450347_4.xml OWNERSHIP DOCUMENT X0306 4 2016-10-10 0 0000320017 Caladrius Biosciences, Inc. CLBS 0001373585 BROWN GREGORY B C/O CALADRIUS BIOSCIENCES, INC. 106 ALLEN ROAD BASKING RIDGE NJ 07920 1 0 0 0 Common Stock 2016-10-10 4 A 0 2500 0 A 2500 D Stock Option 4.66 2016-10-10 4 A 0 4150 0 A 2017-10-10 2026-10-10 Common Stock 4150 4150 D This grant was made in connection with the Reporting Person's appointment to the Issuer's board of directors, audit committee and nominating and corporate governance committee. Represents 2,500 shares of restricted stock that will vest in equal annual installments over a three-year period, commencing on the first anniversary of the grant date. The stock options vest in equal annual installments over a three-year period, commencing on the first anniversary of the grant date. /s/ Gregory B. Brown, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact 2016-10-12