SEC Form 4 · accession 0000320017-18-000074
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Mazzo
Officer — Chief Executive Officer · Director
Period of report
Jun 20, 2018
Accepted (ET)
Jun 21, 2018 · 4:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000320017
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 20, 2018 | A | 33,300 | $8.64 | A | 125,544 | D | |
| Common StockF2 | Jun 20, 2018 | F | 16,091 | $8.64 | D | 109,453 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 33,300 in performance rights, the criteria for which was satisfied on April 6, 2018 and which vested in full on June 20, 2018, when the shareholders voted to approve the new 2018 Equity Incentive Compensation Plan.
- F2Includes 24,975 shares of unvested restricted stock.