SEC Form 4 · accession 0001741455-18-000014
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cynthia Schwalm
Director
Period of report
Nov 7, 2018
Accepted (ET)
Nov 8, 2018 · 4:19 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | $0.00 | Nov 7, 2018 | A | 12,269 | A | Nov 7, 2019 | Nov 7, 2028 | Common Stock | 12,269 | 12,269 | D |
Explanation of responses
- F1Represents 12,269 shares of restricted stock units granted under the 2018 Equity Incentive Compensation Plan. The shares of restricted stock units will vest in annual installments over a three-year period with the initial vesting on November 7, 2019.