0001144204-17-001859.txt : 20170111 0001144204-17-001859.hdr.sgml : 20170111 20170111174836 ACCESSION NUMBER: 0001144204-17-001859 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170109 FILED AS OF DATE: 20170111 DATE AS OF CHANGE: 20170111 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: Preti Robert A CENTRAL INDEX KEY: 0001510186 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 17523633 MAIL ADDRESS: STREET 1: C/O NEOSTEM, INC. STREET 2: 420 LEXINGTON AVENUE, SUITE 450 CITY: NEW YORK STATE: NY ZIP: 10170 4 1 v456763_4.xml OWNERSHIP DOCUMENT X0306 4 2017-01-09 0 0000320017 Caladrius Biosciences, Inc. CLBS 0001510186 Preti Robert A C/O CALADRIUS BIOSCIENCES, INC. 106 ALLEN ROAD BASKING RIDGE NJ 07920 1 1 0 0 See Remarks Common Stock 2017-01-09 4 A 0 18300 0 A 45624 D Common Stock 2017-01-09 4 F 0 2482 3.54 D 43142 D Stock Option 3.54 2017-01-09 4 A 0 27500 0 A 2017-01-09 2027-01-09 Common Stock 27500 27500 D Represents 18,300 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. 25% of the shares of restricted stock vest immediately on the grant date and the remaining 75% of the shares of restricted stock will vest annually over the following three years. Includes 17,993 shares of unvested restricted stock. 25% of the shares underlying the stock options vest immediately on the grant date and the remaining 75% of the shares underlying the stock options will vest annually over the following three years. Senior Vice President, Manufacturing and Technical Operations and Chief Technology Officer. /s/ Robert A. Preti, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact 2017-01-11