SEC Form 4 · accession 0001144204-16-126313
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
Sep 29, 2016
Accepted (ET)
Sep 30, 2016 · 4:31 pm EDT
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 OptionF1 | $4.77 | Sep 29, 2016 | A | 50,919 | A | Sep 29, 2016 | Sep 29, 2026 | Common Stock | 50,919 | 50,919 | D |
Explanation of responses
- F1These stock options were granted upon the Company's Compensation Committee approval on September 29, 2016, in consideration of the unpaid portion of the reporting person's discretionary 2015 target bonus.