0001144204-17-005185.txt : 20170131 0001144204-17-005185.hdr.sgml : 20170131 20170131185157 ACCESSION NUMBER: 0001144204-17-005185 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: Wei Eric CENTRAL INDEX KEY: 0001368570 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 17562591 MAIL ADDRESS: STREET 1: SUITE 602, CHINA LIFE TOWER STREET 2: 16 CHAOWAI DISTRICT CITY: BEIJING STATE: F4 ZIP: 100020 4 1 v458004_4.xml OWNERSHIP DOCUMENT X0306 4 2017-01-09 0 0000320017 Caladrius Biosciences, Inc. CLBS 0001368570 Wei Eric 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 4300 D Common Stock 187223 I See Footnote 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. 186,023 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager"). RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.. Eric H.C. Wei, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact 2017-01-31