0000320017-20-000042.txt : 20200605 0000320017-20-000042.hdr.sgml : 20200605 20200605122329 ACCESSION NUMBER: 0000320017-20-000042 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20200605 DATE AS OF CHANGE: 20200605 EFFECTIVENESS DATE: 20200605 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALADRIUS BIOSCIENCES, INC. CENTRAL INDEX KEY: 0000320017 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 222343568 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-368377 FILM NUMBER: 20945337 BUSINESS ADDRESS: STREET 1: 110 ALLEN ROAD STREET 2: SECOND FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 BUSINESS PHONE: 908-842-0100 MAIL ADDRESS: STREET 1: 110 ALLEN ROAD STREET 2: SECOND FLOOR CITY: BASKING RIDGE STATE: NJ ZIP: 07920 FORMER COMPANY: FORMER CONFORMED NAME: Caladrius Biosciences, Inc. DATE OF NAME CHANGE: 20150608 FORMER COMPANY: FORMER CONFORMED NAME: NeoStem, Inc. DATE OF NAME CHANGE: 20060906 FORMER COMPANY: FORMER CONFORMED NAME: PHASE III MEDICAL INC/DE DATE OF NAME CHANGE: 20030819 D 1 primary_doc.xml X0708 D LIVE 0000320017 CALADRIUS BIOSCIENCES, INC. 110 ALLEN ROAD SECOND FLOOR BASKING RIDGE NJ NEW JERSEY 07920 908-842-0100 DELAWARE Corniche Group Inc./DE Caladrius Biosciences, Inc. NeoStem, Inc. PHASE III MEDICAL INC/DE Corporation true David J. Mazzo c/o Caladrius Biosciences, Inc. 110 Allen Road, 2nd Floor Basking Ridge NJ NEW JERSEY 07920 Executive Officer Douglas Losordo c/o Caladrius Biosciences, Inc. 110 Allen Road, 2nd Floor Basking Ridge NJ NEW JERSEY 07920 Executive Officer Joseph Talamo c/o Caladrius Biosciences, Inc. 110 Allen Road, 2nd Floor Basking Ridge NJ NEW JERSEY 07920 Executive Officer Steven M. Klosk c/o Caladrius Biosciences, Inc. 110 Allen Road, 2nd Floor Basking Ridge NJ NEW JERSEY 07920 Director Gregory B. Brown c/o Caladrius Biosciences, Inc. 110 Allen Road, 2nd Floor Basking Ridge NJ NEW JERSEY 07920 Director Steven S. Myers c/o Caladrius Biosciences, Inc. 110 Allen Road, 2nd Floor Basking Ridge NJ NEW JERSEY 07920 Director Cynthia S. Schwalm c/o Caladrius Biosciences, Inc. 110 Allen Road, 2nd Floor Basking Ridge NJ NEW JERSEY 07920 Director Peter G. Traber c/o Caladrius Biosciences, Inc. 110 Allen Road, 2nd Floor Basking Ridge NJ NEW JERSEY 07920 Director Biotechnology Decline to Disclose 06b false 2020-05-28 false true true false 0 H.C. Wainwright & Co., LLC 375 None None 430 Park Avenue 3rd Floor New York NY NEW YORK 10022 CA CALIFORNIA IL ILLINOIS false 2150002 2150002 0 Represents warrants to purchase up to 1,042,425 shares of common stock at an exercise price of $2.0625 per share. false 6 301000 0 Commissions include sale of 2,084,850 shares of common stock for gross proceeds to the Company of approximately $4.3 million. In addition, the Company paid certain expenses. 0 false CALADRIUS BIOSCIENCES, INC. /s/ David J. Mazzo David J. Mazzo President and Chief Executive Officer 2020-06-05