SEC Form 4 · accession 0001144204-15-003389
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter G Traber
Director
Period of report
Jan 22, 2015
Accepted (ET)
Jan 22, 2015 · 9:02 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 | $3.56 | Jan 22, 2015 | A | 26,500 | A | — | Jan 21, 2025 | Common Stock, par value $0.001 per share | 26,500 | 26,500 | D |
Explanation of responses
- F1Effective January 22, 2015 (the "Grant Date"), NeoStem, Inc. (the "Company") appointed Peter G. Traber, MD (the "Reporting Person") as a director of the Company and the Chair of its Science and Technology Committee. In connection with the appointment, the Reporting Person was granted an option to purchase 26,500 shares of the Company's common stock (the "Option"), subject to all of the terms and conditions of the Company's 2009 Amended & Restated Equity Compensation Plan and pursuant to the Company's Director Compensation Plan. The Option was fully vested on the Grant Date.