SEC Form 4 · accession 0001583810-19-000008
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas W Losordo
Officer — See Remarks
Period of report
Jan 14, 2019
Accepted (ET)
Jan 16, 2019 · 4:16 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 | Jan 14, 2019 | A | 16,000 | $0.00 | A | 113,753 | D | |
| Common StockF2 | Jan 14, 2019 | F | 2,159 | $0.00 | D | 111,594 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F3 | $4.95 | Jan 14, 2019 | A | 24,000 | A | Jan 14, 2019 | Jan 14, 2029 | Common Stock | 24,000 | 24,000 | D |
Explanation of responses
- F1Represents 16,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.
- F2Includes 35,044 unvested restricted stock awards.
- F3One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.