SEC Form 4 · accession 0001144204-15-000634
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robin L Smith
Officer — Exec. Chairman of the Board · Director
Period of report
Jan 2, 2015
Accepted (ET)
Jan 5, 2015 · 9:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000320017
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $3.73 | Jan 2, 2015 | A | 300,000 | A | — | Jan 1, 2025 | Common Stock, par value $0.001 per share | 300,000 | 300,000 | D |
Explanation of responses
- F1In connection with her entry into an amendment of her employment agreement, the reporting person, Robin L. Smith, M.D., was granted, on January 2, 2015, an option (the "Option") to purchase 300,000 shares of the common stock, par value $0.001 per share ("Common Stock"), of NeoStem, Inc. (the "Company"), pursuant and subject to the terms and conditions of the Company's Amended and Restated 2009 Equity Compensation Plan (the "2009 Plan"). The Option was vested as to 100,000 Option shares immediately upon grant, with the remainder of the Option scheduled to vest as to 100,000 Option shares on June 7, 2015 and as to the remaining 100,000 Option shares on December 7, 2015.