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LISATA THERAPEUTICS, INC. — Director's Dealing 2016
Jan 27, 2016
34931_dirs_2016-01-27_885f0f6b-e895-42ac-9b06-b4df98bdf649.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Caladrius Biosciences, Inc. (CLBS)
CIK: 0000320017
Period of Report: 2016-01-25
Reporting Person: Mazzo David J (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-01-25 | Common Stock | A | 212800 | — | Acquired | 484478 | Direct |
| 2016-01-25 | Common Stock | F | 21094 | $0.63 | Disposed | 463384 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-01-25 | Options to Purchase Common Stock | $0.63 | A | 350000 | Acquired | 2026-01-25 | Common Stock (350000) | Direct |
Footnotes
F1: Represents 212,800 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. 25% of the shares of restricted stock vest immediately on the grant date and the remaining 75% of the shares of restricted stock will vest quarterly over the following 12 quarters.
F2: Includes 159,600 shares of unvested restricted stock.
F3: 25% of the shares underlying the Options vest immediately on the grant date and the remaining 75% of the shares underlying the Options will vest quarterly over the following 12 quarters.