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