SEC Form 4 · accession 0001144204-17-001858
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas W Losordo
Officer — See Remarks
Period of report
Jan 9, 2017
Accepted (ET)
Jan 11, 2017 · 5:47 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 9, 2017 | A | 13,300 | $0.00 | A | 28,151 | D | |
| Common StockF2 | Jan 9, 2017 | F | 1,738 | $3.54 | D | 26,413 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $3.54 | Jan 9, 2017 | A | 20,000 | A | Jan 9, 2017 | Jan 9, 2027 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1Represents 13,300 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 annually over the following three years.
- F2Includes 14,246 shares of unvested restricted stock.
- F325% of the shares underlying the stock options vest immediately on the grant date and the remaining 75% of the shares underlying the stock options will vest annually over the following three years.
Remarks
Senior Vice President, Clinical, Medical and Regulatory Affairs and Chief Medical Officer