SEC Form 4 · accession 0001144204-18-020002
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Mazzo
Officer — Chief Executive Officer · Director
Period of report
Apr 6, 2018
Accepted (ET)
Apr 10, 2018 · 6:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000320017
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance RightsF1,F2 | — | Apr 6, 2018 | A | 33,300 | A | — | — | Common Stock | 33,300 | 33,300 | D |
Explanation of responses
- F1Each performance right represents a contingent right to receive one share of common stock of the Issuer.
- F2The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date").