SEC Form 4 · accession 0001144204-15-000230
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Eric Wei
10% Owner
RimAsia Capital Partners GP, L.P.
10% Owner
RimAsia Capital Partners GP, Ltd.
10% Owner
RimAsia Capital Partners, L.P.
Director · 10% Owner
Period of report
Dec 9, 2014
Accepted (ET)
Jan 2, 2015 · 9:00 pm EST
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 Stock, par value $0.001 per shareF1,F2,F3 | Dec 9, 2014 | S | 13,940 | $3.5297 | D | 2,210,988 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are held as to 2,210,988 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP").
- F2This Form 4 is filed jointly by (a) RimAsia LP, (b) RimAsia Capital Partners GP, L.P. ("RimAsia GP"), the general partner of RimAsia LP, (c) RimAsia Capital Partners GP, Ltd. ("RimAsia Ltd."), the general partner of RimAsia GP, (d) RimAsia Manager, the Fund Manager of RimAsia GP and the Manager of RimAsia LP, and (e) Eric H.C. Wei, the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Ltd. and a director of RimAsia Manager. All such reporting persons have the address noted in Item 1.
- F3RimAsia GP, RimAsia Ltd., RimAsia Manager and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia LP, and RimAsia LP, RimAsia GP, RimAsia Ltd. and Eric H.C. Wei disclaim beneficial ownership of the securities held by RimAsia LP in each case except to the extent of any pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.