SEC Form 4 · accession 0001144204-16-077388
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Mazzo
Officer — Chief Executive Officer · Director
Period of report
Jan 25, 2016
Accepted (ET)
Jan 27, 2016 · 9:39 pm EST
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 StockF1,F2 | Jan 25, 2016 | A | 212,800 | $0.00 | A | 484,478 | D | |
| Common StockF2 | Jan 25, 2016 | F | 21,094 | $0.63 | D | 463,384 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common StockF3 | $0.63 | Jan 25, 2016 | A | 350,000 | A | — | Jan 25, 2026 | Common Stock | 350,000 | 350,000 | D |
Explanation of responses
- F1Represents 212,800 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. 25% of the shares of restricted stock vest immediately on the grant date and the remaining 75% of the shares of restricted stock will vest quarterly over the following 12 quarters.
- F2Includes 159,600 shares of unvested restricted stock.
- F325% of the shares underlying the Options vest immediately on the grant date and the remaining 75% of the shares underlying the Options will vest quarterly over the following 12 quarters.