SEC Form 4 · accession 0001144204-15-000246
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Preti
Officer — See Remarks
Period of report
Dec 31, 2014
Accepted (ET)
Jan 2, 2015 · 9:05 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, $0.001 par valueF1 | Dec 31, 2014 | A | 613 | $3.2045 | A | 190,434 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to purchase)F2 | $3.73 | Jan 2, 2015 | A | 50,000 | A | — | Jan 1, 2025 | Common Stock, par value $0.001 per share | 50,000 | 50,000 | D |
Explanation of responses
- F1Shares purchased pursuant to NeoStem, Inc.'s 2012 Employee Stock Purchase Plan for the period ended December 31, 2014.
- F2On January 2, 2015 (the "Grant Date"), the Reporting Person was granted an option under the Company's 2009 Equity Compensation Plan (the "Plan") to purchase shares of the Issuer's common stock, subject to all of the terms and conditions of the Plan. This option vests as follows: as to 25% of the shares on the Grant Date, and as to the remaining 75% of the shares in increments of 25% upon the achievement of certain specified business milestones.
Remarks
Chief Scientific Officer, NeoStem, and President of Progenitor Cell Therapy, LLC, a wholly-owned subsidiary of the Issuer.