0001144204-17-005180.txt : 20170131
0001144204-17-005180.hdr.sgml : 20170131
20170131184954
ACCESSION NUMBER: 0001144204-17-005180
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170109
FILED AS OF DATE: 20170131
DATE AS OF CHANGE: 20170131
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: 17562582
MAIL ADDRESS:
STREET 1: C/O INVUITY, INC.
STREET 2: 444 DE HARO STREET
CITY: SAN FRANCOSCO
STATE: CA
ZIP: 94107
4
1
v457998_4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-01-09
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
2017-01-09
4
A
0
1650
0
A
4150
D
Options to Purchase Common Stock
3.54
2017-01-09
4
A
0
2750
0
A
2018-01-09
2027-01-09
Common Stock
2750
2750
D
Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018.
Includes 4,150 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan.
/s/ Gregory B. Brown, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact
2017-01-31