SEC Form 4 · accession 0001144204-15-006858
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Catherine M Vaczy
Officer — General Counsel
Period of report
Feb 5, 2015
Accepted (ET)
Feb 6, 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, $0.001 par valueF1 | Feb 5, 2015 | A | 30,000 | — | A | 79,359 | D | |
| Common Stock, $0.001 par value | Feb 5, 2015 | F | 12,096 | $3.54 | D | 67,263 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On February 5, 2015, the reporting person entered into an amendment to her employment agreement (the "Amendment") with NeoStem, Inc. (the "Company). Pursuant to the terms of the Amendment, the award consists of a grant of 30,000 shares of the Company's common stock, par value $0.001 per share (the "Common Stock"). The award of Common Stock was made pursuant and subject to the terms and conditions of the Company's Amended and Restated 2009 Equity Compensation Plan (the "2009 Plan").