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Filing Details

Accession Number:
0001144204-17-006290
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-06 19:47:03
Reporting Period:
2017-02-02
Filing Date:
2017-02-06
Accepted Time:
2017-02-06 19:47:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
320017 Caladrius Biosciences Inc. CLBS Services-Misc Health & Allied Services, Nec (8090) 222343568
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1368570 Eric Wei C/o Caladrius Biosciences, Inc.
106 Allen Road
Basking Ridge NJ 07920
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2017-02-02 5,000 $4.51 182,223 No 4 S Indirect See Footnote
Common Stock Disposition 2017-02-02 1,400 $4.75 180,823 No 4 S Indirect See Footnote
Common Stock Disposition 2017-02-03 1,525 $4.76 179,298 No 4 S Indirect See Footnote
Common Stock Disposition 2017-02-06 500 $4.75 178,798 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,300 Direct
Footnotes
  1. The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016.
  2. Following the reported transactions, 177,598 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").
  3. RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.
  4. Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans.