0001104659-17-018804.txt : 20170323 0001104659-17-018804.hdr.sgml : 20170323 20170323141150 ACCESSION NUMBER: 0001104659-17-018804 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20170323 DATE AS OF CHANGE: 20170323 GROUP MEMBERS: SANFORD HEALTH SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Caladrius Biosciences, Inc. CENTRAL INDEX KEY: 0000320017 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 222343568 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-34343 FILM NUMBER: 17709388 BUSINESS ADDRESS: STREET 1: 106 ALLEN ROAD STREET 2: FOURTH FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 BUSINESS PHONE: 908-842-0100 MAIL ADDRESS: STREET 1: 106 ALLEN ROAD STREET 2: FOURTH FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 FORMER COMPANY: FORMER CONFORMED NAME: NeoStem, Inc. DATE OF NAME CHANGE: 20060906 FORMER COMPANY: FORMER CONFORMED NAME: PHASE III MEDICAL INC/DE DATE OF NAME CHANGE: 20030819 FORMER COMPANY: FORMER CONFORMED NAME: CORNICHE GROUP INC /DE DATE OF NAME CHANGE: 19951117 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Sanford CENTRAL INDEX KEY: 0001684955 IRS NUMBER: 271218956 STATE OF INCORPORATION: ND FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: P.O. BOX 5039 CITY: SIOUX FALLS STATE: SD ZIP: 57117 BUSINESS PHONE: 605-312-6580 MAIL ADDRESS: STREET 1: P.O. BOX 5039 CITY: SIOUX FALLS STATE: SD ZIP: 57117 SC 13G/A 1 a17-9114_1sc13ga.htm SC 13G/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No. 1)

 

Caladrius Biosciences, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

128058203

(CUSIP Number)

March 22, 2017

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

x

Rule 13d-1(c)

o

Rule 13d-1(d)

 

The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 

SEC 1745 (3-06)

 



 

CUSIP No. 128058203

13G

 

 

 

1

Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (Entities Only).

 

Sanford

 

 

2

Check the Appropriate Box if a Member of a Group

 

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

 

 

(a)

o

 

 

(b)

x

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
North Dakota, United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5

Sole Voting Power
0

 

6

Shared Voting Power
1,059,322

 

7

Sole Dispositive Power
0

 

8

Shared Dispositive Power
1,059,322

 

 

9

Aggregate Amount Beneficially Owned by Each Reporting Person
1,059,322

 

 

10

Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not applicable

 

 

11

Percent of Class Represented by Amount in Row (9)
11.85%

 

 

12

Type of Reporting Person
CO

 

2



 

CUSIP No. 128058203

13G

 

 

 

1

Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (Entities Only).

 

Sanford Health

 

 

2

Check the Appropriate Box if a Member of a Group

 

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

 

 

(a)

o

 

 

(b)

x

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
South Dakota, United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5

Sole Voting Power
0

 

6

Shared Voting Power
1,059,322

 

7

Sole Dispositive Power
0

 

8

Shared Dispositive Power
1,059,322

 

 

9

Aggregate Amount Beneficially Owned by Each Reporting Person
1,059,322

 

 

10

Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not applicable

 

 

11

Percent of Class Represented by Amount in Row (9)
11.85%

 

 

12

Type of Reporting Person
CO

 

3



 

Item 1.

 

(a)

Name of Issuer
Caladrius Biosciences, Inc.

 

(b)

Address of Issuer’s Principal Executive Offices
106 Allen Road, Fourth Floor

Basking Ridge, NJ 07920

 

Item 2.

 

(a)

Name of Person Filing
Each of the following is hereinafter individually referred to as a “Reporting Person” and collectively as the “Reporting Persons.” This statement is filed on behalf of:

 

Sanford

Sanford Health (1)

 

(b)

Address of Principal Business Office or, if none, Residence
The Principal Business Office of Sanford is: 801 Broadway N Fargo, North Dakota, 58122

The Principal Business Office of Sanford Health is: 1305 W. 18th St., Sioux Falls, South Dakota 57105

 

(c)

Citizenship
Sanford is organized under the laws of the State of North Dakota, United States

Sanford Health is organized under the laws of the State of South Dakota, United States

 

(d)

Title of Class of Securities
Common Stock

 

(e)

CUSIP Number
128058203

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

o

Broker or dealer registered under section 15 of the Act.

 

(b)

o

Bank as defined in section 3(a)(6) of the Act.

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act.

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940.

 

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).

 

(g)

o

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).

 

(h)

o

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.

 

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940.

 

(j)

o

Group, in accordance with § 240.13d-1(b)(1)(ii)(J).

 


(1) Sanford Health is a wholly owned subsidiary of Sanford.

 

4



 

Item 4.

Ownership

 

 

(a)

Amount beneficially owned

1,059,322 (2)

 

(b)

Percent of class   

11.85%

 

(c)

Number of shares as to which such person has:

 

 

 

(i)

Sole power to vote or to direct the vote   

0

 

 

(ii)

Shared power to vote or to direct the vote    

1,059,322

 

 

(iii)

Sole power to dispose or to direct the disposition of   

0

 

 

(iv)

Shared power to dispose or to direct the disposition of   

1,059,322

 

Item 5.

Ownership of Five Percent or Less of a Class

 

Not Applicable

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

 

Not Applicable

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

 

Not Applicable

 

Item 8.

Identification and Classification of Members of the Group

 

Not Applicable

 

Item 9.

Notice of Dissolution of Group

 

Not Applicable

 


(2) The Reporting Persons purchased 635,593 shares of Common Stock on September 16, 2016 and an additional 423,729 shares of Common Stock on March 22, 2017 pursuant to a Stock Purchase Agreement dated as of September 14, 2016 between Caladrius Biosciences, Inc. and Sanford Health.

 

5



 

Item 10.

Certification

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

March 23, 2017

Sanford

 

 

 

 

 

/s/ Rich Adcock

 

Signature

 

 

 

Rich Adcock, Chief Innovation Officer

 

Name/Title

 

 

 

 

 

Sanford Health

 

 

 

 

 

/s/ Rich Adcock

 

Signature

 

 

 

Rich Adcock, Chief Innovation Officer

 

Name/Title

 

6


EX-99 2 a17-9114_1ex99.htm EX-99

Exhibit 99

 

JOINT FILING AGREEMENT

 

In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other on behalf of each of them of such a statement on Schedule 13G with respect to the Common Stock beneficially owned by each of them of Caladrius Biosciences, Inc. This Joint Filing Agreement shall be included as an Exhibit to such Schedule 13G.

 

IN WITNESS WHEREOF, the undersigned hereby execute this Joint Filing Agreement as of the 23rd day of March, 2017.

 

 

Sanford

 

 

 

By:

/s/ Rich Adcock

 

Name:

Rich Adcock

 

Title:

Chief Innovation Officer

 

 

 

 

 

 

 

Sanford Health

 

 

 

By:

/s/ Rich Adcock

 

Name:

Rich Adcock

 

Title:

Chief Innovation Officer