SEC Form 4 · accession 0001144204-15-072686
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Preti
Officer — See Remarks · Director
Period of report
Dec 22, 2015
Accepted (ET)
Dec 23, 2015 · 9:00 pm EST
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 | $1.12 | Dec 22, 2015 | A | 200,000 | A | — | Dec 21, 2025 | Common Stock, par value $0.001 per share | 200,000 | 200,000 | D |
Explanation of responses
- F1On December 22, 2015 (the "Grant Date"), the Reporting Person was granted an option under the Company's 2015 Equity Compensation Plan (the "Plan") to purchase shares of the Issuer's common stock, subject to all of the terms and conditions of the Plan. This option vests as follows: 50,000 shares on the Grant Date, with the remaining 150,000 shares vesting in even increments of 12,500 shares quarterly over a period of 36 months.
Remarks
Senior VP, Development and Technical Operations and Chief Technology Officer, Caladrius Biosciences and President, PCT, a Caladrius Company.