SEC Form 4 · accession 0001144204-15-035641
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
Jun 2, 2015
Accepted (ET)
Jun 4, 2015 · 9:06 pm EDT
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 | $2.26 | Jun 2, 2015 | A | 33,750 | A | — | Jun 1, 2025 | Common Stock, par value $0.001 per share | 33,750 | 0 | D |
Explanation of responses
- F1On June 2, 2015 (the "Grant Date"), the Reporting Person was granted an option, under the Company's 2009 Equity Compensation Plan (the "Plan") to purchase 33,750 shares of the Issuer's common stock, $.001 par value, subject to all of the terms and conditions of the Plan. This option vests 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.
Remarks
Chief Scientific Officer, NeoStem, and President of Progenitor Cell Therapy, LLC, a wholly-owned subsidiary of the Issuer.