0001144204-16-109998.txt : 20160627
0001144204-16-109998.hdr.sgml : 20160627
20160627160518
ACCESSION NUMBER: 0001144204-16-109998
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160623
FILED AS OF DATE: 20160627
DATE AS OF CHANGE: 20160627
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: 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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wei Eric
CENTRAL INDEX KEY: 0001368570
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33650
FILM NUMBER: 161733442
MAIL ADDRESS:
STREET 1: SUITE 602, CHINA LIFE TOWER
STREET 2: 16 CHAOWAI DISTRICT
CITY: BEIJING
STATE: F4
ZIP: 100020
4
1
v443015_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-06-23
0
0000320017
Caladrius Biosciences, Inc.
CLBS
0001368570
Wei Eric
C/O CALADRIUS BIOSCIENCES, INC.
106 ALLEN ROAD
BASKING RIDGE
NJ
07920
1
0
0
0
Common Stock
2016-06-23
4
S
0
7386
0.55
D
1980040
I
See Footnote
Common Stock
2016-06-24
4
S
0
15312
0.55
D
1964728
I
See Footnote
Common Stock
26500
D
The transaction reported in this line item was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016.
Following the reported transactions, 1,952,728 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 12,000 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").
RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.
Includes 9,000 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 25, 2017 and 7,500 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on June 22, 2017.
Eric H.C. Wei, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact
2016-06-27