SEC Form 4 · accession 0001144204-18-001703
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Talamo
Officer — SVP and CFO
Period of report
Jan 8, 2018
Accepted (ET)
Jan 10, 2018 · 4:06 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 8, 2018 | A | 13,300 | $0.00 | A | 30,120 | D | |
| Common StockF2 | Jan 8, 2018 | F | 1,803 | $0.00 | D | 28,317 | 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 | $3.79 | Jan 8, 2018 | A | 20,000 | A | Jan 8, 2018 | Jan 8, 2028 | 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. The restricted stock vests in three equal installments, with one-third of the shares vesting on the date of grant and an additional one-third vesting on each of the first and second anniversaries of the grant date.
- F2Includes 9,975 shares of unvested restricted stock.
- F3One-third of the shares underlying the stock options vest immediately on the grant date, with an additional one-third vesting on each of the first and second anniversaries of the grant date.
Remarks
Senior Vice President and Chief Financial Officer