SEC Form 4 · accession 0001144204-17-005182
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven M Klosk
Director
Period of report
Jan 9, 2017
Accepted (ET)
Jan 31, 2017 · 6:50 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 | 1,650 | $0.00 | A | 6,500 | 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 | $3.54 | Jan 9, 2017 | A | 2,750 | A | Jan 9, 2018 | Jan 9, 2027 | Common Stock | 2,750 | 2,750 | D |
Explanation of responses
- F1Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018.
- F2Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans.