SEC Form 4 · accession 0001144204-15-035644
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robin L Smith
Officer — Executive Chair of the Board · Director
Period of report
Jun 2, 2015
Accepted (ET)
Jun 4, 2015 · 9:08 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 | Jun 2, 2015 | A | 40,000 | — | A | 347,285 | 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 40,000 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.