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LISATA THERAPEUTICS, INC. — Director's Dealing 2018
Jan 10, 2018
34931_dirs_2018-01-10_a83fb75c-3ab1-4a10-a846-f4ccaff91f10.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: 2018-01-08
Reporting Person: Talamo Joseph (SVP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-01-08 | Common Stock | A | 13300 | — | Acquired | 30120 | Direct |
| 2018-01-08 | Common Stock | F | 1803 | — | Disposed | 28317 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-01-08 | Stock Option | $3.79 | A | 20000 | Acquired | 2028-01-08 | Common Stock (20000) | Direct |
Footnotes
F1: Represents 13,300 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. The restricted stock vests 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 anniversaries of the grant date.
F2: Includes 9,975 shares of unvested restricted stock.
F3: 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 anniversaries of the grant date.