SEC Form 4 · accession 0001144204-17-005185
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Wei
Director
Period of report
Jan 9, 2017
Accepted (ET)
Jan 31, 2017 · 6:51 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 | 4,300 | D | |
| Common StockF3,F4 | holding | — | — | — | 187,223 | I | See Footnote |
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.
- F3186,023 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").
- F4RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose..