0001144204-17-028879.txt : 20170522 0001144204-17-028879.hdr.sgml : 20170522 20170522162706 ACCESSION NUMBER: 0001144204-17-028879 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170518 FILED AS OF DATE: 20170522 DATE AS OF CHANGE: 20170522 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: 17861256 MAIL ADDRESS: STREET 1: C/O NEOSTEM, INC. STREET 2: 420 LEXINGTON AVENUE, SUITE 450 CITY: NEW YORK STATE: NY ZIP: 10170 4 1 v467613_4.xml OWNERSHIP DOCUMENT X0306 4 2017-05-18 1 0000320017 Caladrius Biosciences, Inc. CLBS 0001510186 Preti Robert A C/O CALADRIUS BIOSCIENCES, INC. 106 ALLEN ROAD BASKING RIDGE NJ 07920 0 0 0 1 See Remarks Common Stock 2017-05-18 4 F 0 8842 5.13 D 33786 D The reporting person resigned from his position as a director and executive officer effective March 16, 2017, as a result the reporting person is no longer subject to Section 16 in connection with his transactions in the equity securities of Caladrius Biosciences, Inc. and therefore will no longer report any such transactions on Form 4 or Form 5. /s/ Robert A. Preti, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact 2017-05-22