0001334549-24-000002.txt : 20240111 0001334549-24-000002.hdr.sgml : 20240111 20240111161038 ACCESSION NUMBER: 0001334549-24-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240109 FILED AS OF DATE: 20240111 DATE AS OF CHANGE: 20240111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mazzo David J CENTRAL INDEX KEY: 0001334549 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 24529364 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: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 wk-form4_1705007427.xml FORM 4 X0508 4 2024-01-09 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 0 Common Stock 2024-01-09 4 A 0 94000 0 A 199308 D Common Stock 2024-01-09 4 F 0 12203 3.08 D 187105 D Common Stock 2024-01-09 4 F 0 7843 3.08 D 179262 D Common Stock 2024-01-10 4 F 0 3470 3 D 175792 D Stock Option (Right to Buy) 3.08 2024-01-09 4 A 0 47000 0 A 2024-01-09 2034-01-09 Common Stock 47000 47000 D Represents 94,000 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 115,850 unvested restricted stock. Shares withheld as payment of a tax liability on vesting of restricted stock. Includes 109,166 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 anniversaries of the grant date. James Nisco, Attorney-in-Fact for David J. Mazzo 2024-01-11