SEC Form 4 · accession 0001144204-17-028455
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory B Brown
Director
Period of report
May 16, 2017
Accepted (ET)
May 18, 2017 · 5:01 pm 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 | May 16, 2017 | A | 2,565 | $0.00 | A | 6,715 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents an award of 2,565 Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.
- F2Includes 2,500 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest over a three-year period beginning on October 10, 2017, 1,650 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018 and 2,565 shares of unvested Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018.