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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Caladrius Biosciences Inc | NASDAQ:CLBS | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.4264 | 0.4264 | 0.43 | 0 | 00:00:00 |
Delaware
|
22-2343568
|
|
(State or other jurisdiction of
incorporation or organization) |
(I.R.S. Employer
Identification Number) |
Large accelerated filer
|
☐ |
Accelerated filer
|
☐ |
Non-accelerated filer
|
☐ |
Smaller reporting company
|
☒ |
Emerging growth company
|
☐ |
Item 3. |
Incorporation of Documents by Reference.
|
(a) |
The Registrant’s Annual Report on Form 10-K for the year ended December 31, 2021 filed with the SEC on March
22, 2022, as amended on April 21, 2022;
|
(b) |
The Registrant’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2022 filed with the SEC on May
5, 2022 and the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2022 filed with the SEC on August 4, 2022;
|
(c) |
The Registrant’s Current Reports on Form 8-K as filed with the SEC on February 18, 2022, February 25, 2022, April 27, 2022, August 19, 2022, September 14, 2022, September 15, 2022, September 22, 2022
(except Item 7.01), September 29, 2022, Form 8-K/A on October 4, 2022 and Form 8-K/A (No. 2) on October
14, 2022;
|
(d) |
The description of the Registrant’s common stock contained in the Registrant’s registration statement on Form 8-A (File No. 001-33650), filed by the Registrant with the SEC under Section 12(b) of the Securities
Exchange Act of 1934, as amended (the “Exchange Act”), on August 2, 2013, including any amendments or reports filed for the purpose of updating such
description.
|
Item 4. |
Description of Securities.
|
Item 5. |
Interests of Named Experts and Counsel.
|
Item 6. |
Indemnification of Directors and Officers.
|
Item 7. |
Exemption from Registration Claimed.
|
Item 8. |
Exhibits.
|
Incorporated by | ||||||||||
Exhibit
|
Reference |
Filed
|
||||||||
Number |
Exhibit Description
|
Form
|
Date
|
Number
|
Herewith
|
|||||
4.1
|
10-Q
|
8/9/2016
|
3.1
|
|||||||
4.2
|
8-K
|
9/14/2022
|
3.1
|
|||||||
4.3
|
8-K
|
9/15/2022
|
3.2
|
|||||||
4.4
|
10-Q
|
8/9/2016
|
3.2
|
|||||||
4.5
|
8-K
|
9/21/2017
|
3.1
|
|||||||
5.1
|
X
|
|||||||||
23.1
|
X
|
|||||||||
23.2 |
Consent of Withum Smith+Brown,
PC, independent registered public accounting firm |
X |
||||||||
23.3
|
X
|
|||||||||
24.1
|
X
|
|||||||||
99.1#
|
X
|
|||||||||
99.2#
|
S-8
|
6/30/2021
|
4.1
|
|||||||
107 |
Calculation of Filing Fee Table
|
X |
# |
Indicates management contract or compensatory plan.
|
Item 9. |
Undertakings.
|
(a) |
To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
|
(i) |
To include any prospectus required by Section 10(a)(3) of the Securities Act of 1933;
|
(ii) |
To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate,
represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not
exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the SEC pursuant to Rule 424(b) if, in the aggregate, the changes in
volume and price represent no more than 20 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement;
|
(iii) |
To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement;
|
(b) |
That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered
therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
|
(c) |
To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.
|
LISATA THERAPEUTICS, INC.
|
||
By:
|
/s/ David J. Mazzo, Ph.D.
|
|
David J. Mazzo, Ph.D.
|
||
Chief Executive Officer
|
Signature
|
Title
|
Date
|
||
/s/ David J. Mazzo, Ph.D.
|
Chief Executive Officer and Director
|
|||
David J. Mazzo, Ph.D.
|
(Principal Executive Officer, Principal Financial Officer and Principal Accounting Officer)
|
October 17, 2022
|
||
/s/ David Slack, M.B.A.
|
President, Chief Business Officer and Director
|
|||
David Slack, M.B.A.
|
October 17, 2022
|
|||
/s/ Gregory B. Brown, M.D.
|
Chairman of the Board of Directors
|
|||
Gregory B. Brown, M.D. |
October 17, 2022
|
|||
/s/ Mohammad Azab, M.D., M.B.A.
|
Director
|
|||
Mohammad Azab, M.D., M.B.A.
|
October 17, 2022
|
|||
/s/ Cynthia L. Flowers, M.B.A.
|
Director
|
|||
Cynthia L. Flowers, M.B.A.
|
October 17, 2022
|
|||
/s/ Heidi Henson
|
Director
|
|||
Heidi Henson
|
October 17, 2022
|
|||
/s/ Steven M. Klosk, J.D.
|
Director |
|||
Steven M. Klosk J.D.
|
October 17, 2022
|
|||
/s/ Erkki Ruoslahti, M.D., Ph.D.
|
Director
|
|||
Erkki Ruoslahti, M.D., Ph.D.
|
October 17, 2022
|
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