0001583810-20-000006.txt : 20200115 0001583810-20-000006.hdr.sgml : 20200115 20200115160315 ACCESSION NUMBER: 0001583810-20-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200113 FILED AS OF DATE: 20200115 DATE AS OF CHANGE: 20200115 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: 20528344 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 wf-form4_157912217471029.xml FORM 4 X0306 4 2020-01-13 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 Common Stock 2020-01-13 4 A 0 19000 0 A 135197 D Common Stock 2020-01-13 4 F 0 2601 3.28 D 132596 D Common Stock 2020-01-14 4 F 0 2190 3.38 D 130406 D Stock Options (Right to Buy) 3.28 2020-01-13 4 A 0 29000 0 A 2020-01-13 2030-01-13 Common Stock 29000.0 29000 D Represents 19,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date. Includes 25,575 unvested restricted stock awards. One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date. Executive Vice President, Global Head of Research and Development and Chief Medical Officer Douglas W. Losordo, by: /s/Todd C. Girolamo, Esq., Attorney-in-Fact 2020-01-15