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