SEC Form 4 · accession 0001144204-16-127776
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory B Brown
Director
Period of report
Oct 10, 2016
Accepted (ET)
Oct 12, 2016 · 9:06 am 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 | Oct 10, 2016 | A | 2,500 | $0.00 | A | 2,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1,F3 | $4.66 | Oct 10, 2016 | A | 4,150 | A | Oct 10, 2017 | Oct 10, 2026 | Common Stock | 4,150 | 4,150 | D |
Explanation of responses
- F1This grant was made in connection with the Reporting Person's appointment to the Issuer's board of directors, audit committee and nominating and corporate governance committee.
- F2Represents 2,500 shares of restricted stock that will vest in equal annual installments over a three-year period, commencing on the first anniversary of the grant date.
- F3The stock options vest in equal annual installments over a three-year period, commencing on the first anniversary of the grant date.