0001879231-21-000006.txt : 20210903 0001879231-21-000006.hdr.sgml : 20210903 20210903160421 ACCESSION NUMBER: 0001879231-21-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210901 FILED AS OF DATE: 20210903 DATE AS OF CHANGE: 20210903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Buck Kristen K CENTRAL INDEX KEY: 0001879231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33650 FILM NUMBER: 211236462 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_163069943394562.xml FORM 4 X0306 4 2021-09-01 0 0000320017 CALADRIUS BIOSCIENCES, INC. CLBS 0001879231 Buck Kristen K C/O CALADRIUS BIOSCIENCES, INC. 110 ALLEN ROAD, 2ND FLOOR BASKING RIDGE NJ 07920 0 1 0 0 EVP, R&D and CMO Common Stock 2021-09-01 4 A 0 312500 0 A 312500 D Common Stock 2021-09-01 4 F 0 50103 1.28 D 262397 D Stock Option (Right to Buy) 1.28 2021-09-01 4 A 0 1137915 0 A 2021-09-01 2031-09-01 Common Stock 1137915.0 1137915 D Represents 312,500 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in three equal installments, with one-third of the shares vesting on the date of grant and an additional one-third vesting on each of the first and second annual anniversaries of the grant date. Includes 209,375 unvested restricted stock awards. One-third of the shares underlying the stock options vest immediately on the grant date, with an additional one-third vesting on each of the first and second annual anniversaries of the grant date. Kristen K. Buck, by Todd Girolamo, Esq., Attorney-in-Fact 2021-09-03