SEC Form 4 · accession 0001144204-15-035640
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Wei
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, par value $0.001 per shareF1,F2,F3,F4 | Jun 2, 2015 | A | 10,000 | $0.00 | A | 2,132,988 | I | See footnotes |
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.
- F2These shares of the common stock of the Company, par value $0.001 per share ("Common Stock"), are held (i) 10,000 shares by Eric Wei, individually, and (ii) as to 2,110,988 shares of Common Stock by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and (iii) as to 12,000 shares of Common Stock by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").
- F3RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.
- F4RimAsia LP and the related entities described in footnote 3 above (collectively, "RimAsia") was previously a 10% owner of the Company's Common Stock, but is no longer a 10% owner. The reporting person Mr. Wei, a member of the Company's board of directors, previously had submitted joint filings with RimAsia, but, as RimAsia is no longer a 10% owner, this filing is being made solely by Mr. Wei as a director of the Company.