SEC Form 4 · accession 0001144204-16-109543
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Berman
Director
Period of report
Jun 22, 2016
Accepted (ET)
Jun 23, 2016 · 5:48 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 StockF1,F2 | Jun 22, 2016 | A | 7,500 | $0.00 | A | 55,266 | 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 | $0.516 | Jun 22, 2016 | A | 12,500 | A | Jun 22, 2017 | Jun 22, 2026 | Common Stock | 12,500 | 12,500 | D |
Explanation of responses
- F1Represents 7,500 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on June 22, 2017.
- F2Includes 9,000 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 25, 2017 and 7,500 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on June 22, 2017.