0001334549-23-000002.txt : 20230111 0001334549-23-000002.hdr.sgml : 20230111 20230111160753 ACCESSION NUMBER: 0001334549-23-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230109 FILED AS OF DATE: 20230111 DATE AS OF CHANGE: 20230111 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: 23523671 MAIL ADDRESS: STREET 1: 110 ALLEN ROAD STREET 2: 2ND FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LISATA THERAPEUTICS, 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: 908-229-2590 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: 20170808 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 4 1 wf-form4_167347112819363.xml FORM 4 X0306 4 2023-01-09 0 0000320017 LISATA THERAPEUTICS, INC. LSTA 0001334549 Mazzo David J C/O LISATA THERAPEUTICS, INC. 110 ALLEN ROAD, 2ND FLOOR BASKING RIDGE NJ 07920 1 1 0 0 Chief Executive Officer Common Stock 2023-01-09 4 A 0 60000 0 A 109285 D Common Stock 2023-01-09 4 F 0 7845 3 D 101440 D Common Stock 2023-01-10 4 F 0 3470 3.195 D 97970 D Stock Options (Right to Buy) 3.0 2023-01-09 4 A 0 30000 0 A 2023-01-09 2033-01-09 Common Stock 30000.0 30000 D Represents 60,000 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 69,783 unvested restricted stock. Shares withheld as payment of a tax liability on vesting of restricted stock. Includes 63,100 unvested restricted stock. 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. James Nisco, Attorney-in-Fact for David J. Mazzo 2023-01-11