Filing Details
- Accession Number:
- 0001144204-17-006741
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-08 16:15:22
- Reporting Period:
- 2017-02-07
- Filing Date:
- 2017-02-08
- Accepted Time:
- 2017-02-08 16:15:22
- 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 | 2017-02-07 | 6,575 | $4.77 | 172,223 | No | 4 | S | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See Footnote |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,300 | Direct |
Footnotes
- 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.
- Following the reported transactions, 171,023 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").
- 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.
- Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans.
Billionaire Hedge Funds
