0001144204-18-020005.txt : 20180410
0001144204-18-020005.hdr.sgml : 20180410
20180410190056
ACCESSION NUMBER: 0001144204-18-020005
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180406
FILED AS OF DATE: 20180410
DATE AS OF CHANGE: 20180410
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LOSORDO DOUGLAS W
CENTRAL INDEX KEY: 0001583810
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 18748936
MAIL ADDRESS:
STREET 1: 13 FOX MEADOW RD
CITY: SCARSDALE
STATE: NY
ZIP: 10583
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
tv490824_4.xml
OWNERSHIP DOCUMENT
X0306
4
2018-04-06
0
0000320017
CALADRIUS BIOSCIENCES, INC.
CLBS
0001583810
LOSORDO DOUGLAS W
C/O CALADRIUS BIOSCIENCES, INC.
110 ALLEN ROAD, 2ND FLOOR
BASKING RIDGE
NJ
07920
0
1
0
0
See Remarks
Performance Rights
2018-04-06
4
A
0
13300
0
A
Common Stock
13300
13300
D
Each performance right represents a contingent right to receive one share of common stock of the Issuer.
The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date").
Senior Vice President, Clinical, Medical and Regulatory Affairs and Chief Medical Officer
Douglas W. Losordo, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact
2018-04-10