SEC Form 4 · accession 0001144204-15-035639
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew L Pecora
Director
Period of report
Jun 2, 2015
Accepted (ET)
Jun 4, 2015 · 9:05 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 | Jun 2, 2015 | A | 10,000 | $0.00 | A | 355,029 | D | |
| Common Stock, $0.001 par value | Jun 4, 2015 | A | 1,330 | $2.34 | A | 356,359 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On June 2, 2015 (the "Grant Date"), the Reporting Person was granted an award of 10,000 shares of the Company's common stock (the "Shares"), subject to all of the terms and conditions of the Company's 2009 Equity Compensation Plan (the "Plan"). The Shares vest as follows: as to 25% of the shares on the Grant Date, and the remaining 75% shall vest quarterly over a period of thirty-six months from the Grant Date. With regard to the Shares, the Company agreed to pay total withholding taxes.
- F2Effective August 15, 2013, the Issuer's Board of Directors approved an arrangement whereby the Reporting Person shall receive a portion of his net salary through the issuance to him by the Issuer of shares of the Issuer's common stock, $.001 par value (the "Common Stock") at the then-market price at the time of issuance, under and subject to the terms and conditions of the Issuers' Amended & Restated 2009 Equity Compensation Plan (the "Plan").