SEC Form 4 · accession 0001144204-16-077392
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter G Traber
Director
Period of report
Jan 25, 2016
Accepted (ET)
Jan 27, 2016 · 9:41 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 | 9,000 | $0.00 | A | 19,000 | 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 Stock | $0.63 | Jan 25, 2016 | A | 15,000 | A | Jan 25, 2017 | Jan 25, 2026 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Represents 9,000 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. The shares of restricted stock will all vest on January 25, 2017.
- F2Includes 9,000 shares of unvested restricted stock.