SEC Form 4 · accession 0001144204-15-033027
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
May 19, 2015
Accepted (ET)
May 21, 2015 · 9:00 pm EDT
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 | May 19, 2015 | A | 520 | $0.00 | A | 190,954 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the Reporting Person's one third percentage of the contingent shares of common stock, par value $0.001 per share, of NeoStem, Inc. (the "Company"), which was issued in accordance with the terms of the Agreement and Plan of Merger, dated July 13, 2011, between the Company and Amorcyte, Inc. (the "Merger Agreement").
Remarks
Chief Scientific Officer, NeoStem, and President of Progenitor Cell Therapy, LLC, a wholly-owned subsidiary of the Issuer.