LISATA THERAPEUTICS, INC. — Director's Dealing 2021

Jan 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CALADRIUS BIOSCIENCES, INC. (CLBS)
CIK: 0000320017
Period of Report: 2021-01-08

Reporting Person: Mazzo David J (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-01-08	Common Stock	F	4726	$1.60	Disposed	192274	Direct
2021-01-11	Common Stock	A	119000	—	Acquired	311274	Direct
2021-01-11	Common Stock	F	16621	$1.59	Disposed	294653	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-01-11	Stock Options (Right to Buy)	$1.59	A	60000	Acquired	2031-01-11	Common Stock (60000.0)	Direct

Footnotes

F1: Includes 58,000 unvested restricted stock.

F2: Shares withheld as payment of a tax liability on vesting of restricted stock.

F3: Represents 119,000 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.

F4: Includes 177,000 unvested restricted stock.

F5: Includes 147,250 unvested restricted stock.

F6: 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 annual anniversaries of the grant date.