0001144204-18-001693.txt : 20180110 0001144204-18-001693.hdr.sgml : 20180110 20180110160500 ACCESSION NUMBER: 0001144204-18-001693 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180108 FILED AS OF DATE: 20180110 DATE AS OF CHANGE: 20180110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRABER PETER G CENTRAL INDEX KEY: 0001284500 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 18521579 MAIL ADDRESS: STREET 1: 430 THAMER LANE CITY: HOUSTON STATE: TX ZIP: 77025 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: 110 ALLEN ROAD STREET 2: SECOND FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 BUSINESS PHONE: 908-842-0100 MAIL ADDRESS: STREET 1: 110 ALLEN ROAD STREET 2: SECOND FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 FORMER COMPANY: FORMER CONFORMED NAME: Caladrius Biosciences, Inc. DATE OF NAME CHANGE: 20150608 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 4 1 tv483048_4.xml OWNERSHIP DOCUMENT X0306 4 2018-01-08 0 0000320017 CALADRIUS BIOSCIENCES, INC. CLBS 0001284500 TRABER PETER G C/O CALADRIUS BIOSCIENCES, INC. 110 ALLEN ROAD, 2ND FLOOR BASKING RIDGE NJ 07920 1 0 0 0 Restricted Stock Units 2018-01-08 4 A 0 8747 0 A 2019-01-08 2028-01-08 Common Stock 8747 8747 D Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The restricted stock units vest in full on the date that is one year from the date of grant. Peter G. Traber, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact 2018-01-10