0001334549-20-000005.txt : 20200115 0001334549-20-000005.hdr.sgml : 20200115 20200115160538 ACCESSION NUMBER: 0001334549-20-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200113 FILED AS OF DATE: 20200115 DATE AS OF CHANGE: 20200115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mazzo David J CENTRAL INDEX KEY: 0001334549 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 20528362 MAIL ADDRESS: STREET 1: 110 ALLEN ROAD STREET 2: 2ND FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 110 ALLEN ROAD STREET 2: SECOND FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 BUSINESS PHONE: 908-842-0100 MAIL ADDRESS: STREET 1: 110 ALLEN ROAD STREET 2: SECOND FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 FORMER COMPANY: FORMER CONFORMED NAME: Caladrius Biosciences, Inc. DATE OF NAME CHANGE: 20150608 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 4 1 wf-form4_157912231463372.xml FORM 4 X0306 4 2020-01-13 0 0000320017 CALADRIUS BIOSCIENCES, INC. CLBS 0001334549 Mazzo David J C/O CALADRIUS BIOSCIENCES, INC. 110 ALLEN ROAD, 2ND FLOOR BASKING RIDGE NJ 07920 1 1 0 0 Chief Executive Officer Common Stock 2020-01-13 4 A 0 46000 0 A 199010 D Common Stock 2020-01-13 4 F 0 6246 3.28 D 192764 D Common Stock 2020-01-14 4 F 0 6382 3.38 D 186382 D Stock Options (Right to Buy) 3.28 2020-01-13 4 A 0 69000 0 A 2020-01-13 2030-01-13 Common Stock 69000.0 69000 D Represents 46,000 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. Includes 66,325 unvested restricted stock awards. One-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. David J. Mazzo, by: /s/Todd C. Girolamo, Esq., Attorney-in-Fact 2020-01-15