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