0001144204-17-005181.txt : 20170131 0001144204-17-005181.hdr.sgml : 20170131 20170131185017 ACCESSION NUMBER: 0001144204-17-005181 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: BERMAN RICHARD J CENTRAL INDEX KEY: 0001111620 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 17562584 MAIL ADDRESS: STREET 1: 305 COLLEGE ROAD EAST CITY: PRINCETON STATE: NJ ZIP: 08540 4 1 v457999_4.xml OWNERSHIP DOCUMENT X0306 4 2017-01-09 0 0000320017 Caladrius Biosciences, Inc. CLBS 0001111620 BERMAN RICHARD J 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 7177 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 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans. Richard Berman, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact 2017-01-31