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LISATA THERAPEUTICS, INC. — Director's Dealing 2021
Sep 3, 2021
34931_dirs_2021-09-03_72891364-3180-487f-bed7-d7a2c4b8263d.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: 2021-09-01
Reporting Person: Buck Kristen K (EVP, R&D and CMO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-09-01 | Common Stock | A | 312500 | — | Acquired | 312500 | Direct |
| 2021-09-01 | Common Stock | F | 50103 | $1.28 | Disposed | 262397 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-09-01 | Stock Option (Right to Buy) | $1.28 | A | 1137915 | Acquired | 2031-09-01 | Common Stock (1137915.0) | Direct |
Footnotes
F1: 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.
F2: Includes 209,375 unvested restricted stock awards.
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 annual anniversaries of the grant date.