o NoneEntity Type
0000320017
Corniche Group Inc./DE
Caladrius Biosciences, Inc.
NeoStem, Inc.
PHASE III MEDICAL INC/DE
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 CALADRIUS BIOSCIENCES, INC.
Jurisdiction of Incorporation/OrganizationDELAWARE 
Year of Incorporation/Organization
  x Over Five Years Ago
  o Within Last Five Years (Specify Year)  
  o Yet to Be Formed 



2. Principal Place of Business and Contact Information
Name of Issuer 
 CALADRIUS BIOSCIENCES, INC. 
Street Address 1Street Address 2
 110 ALLEN ROAD SECOND FLOOR
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 BASKING RIDGE NEW JERSEY 07920 908-842-0100 



3. Related Persons
Last NameFirst NameMiddle Name
MazzoDavidJ.
Street Address 1Street Address 2
c/o Caladrius Biosciences, Inc.110 Allen Road, 2nd Floor
CityState/Province/CountryZIP/Postal Code
Basking RidgeNEW JERSEY07920
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
LosordoDouglas
Street Address 1Street Address 2
c/o Caladrius Biosciences, Inc.110 Allen Road, 2nd Floor
CityState/Province/CountryZIP/Postal Code
Basking RidgeNEW JERSEY07920
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
TalamoJoseph
Street Address 1Street Address 2
c/o Caladrius Biosciences, Inc.110 Allen Road, 2nd Floor
CityState/Province/CountryZIP/Postal Code
Basking RidgeNEW JERSEY07920
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
KloskStevenM.
Street Address 1Street Address 2
c/o Caladrius Biosciences, Inc.110 Allen Road, 2nd Floor
CityState/Province/CountryZIP/Postal Code
Basking RidgeNEW JERSEY07920
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

 
Last NameFirst NameMiddle Name
BrownGregoryB.
Street Address 1Street Address 2
c/o Caladrius Biosciences, Inc.110 Allen Road, 2nd Floor
CityState/Province/CountryZIP/Postal Code
Basking RidgeNEW JERSEY07920
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
MyersStevenS.
Street Address 1Street Address 2
c/o Caladrius Biosciences, Inc.110 Allen Road, 2nd Floor
CityState/Province/CountryZIP/Postal Code
Basking RidgeNEW JERSEY07920
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
SchwalmCynthiaS.
Street Address 1Street Address 2
c/o Caladrius Biosciences, Inc.110 Allen Road, 2nd Floor
CityState/Province/CountryZIP/Postal Code
Basking RidgeNEW JERSEY07920
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
TraberPeterG.
Street Address 1Street Address 2
c/o Caladrius Biosciences, Inc.110 Allen Road, 2nd Floor
CityState/Province/CountryZIP/Postal Code
Basking RidgeNEW JERSEY07920
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

 


4. Industry Group
o Agriculture Health Care o Retailing
 Banking & Financial Services   x Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance Technology
  o Insurance  o Hospitals & Physicians  o Computers
  o Investing  o Pharmaceuticals  o Telecommunications
  o Investment Banking  o Other Health Care  o Other Technology
  o Pooled Investment Fund

    Travel
  o Other Banking & Financial Services o Manufacturing  o Airlines & Airports
 Real Estate  o Lodging & Conventions
  o Commercial  o Tourism & Travel Services
  o Construction  o Other Travel
  o REITS & Finance o Other
  o Residential 
  o Other Real Estate 
o Business Services 
 Energy 
  o Coal Mining 
  o Electric Utilities 
  o Energy Conservation 
  o Environmental Services 
  o Oil & Gas 
  o Other Energy 


5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
o $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
x Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506(b)
o Rule 504 (b)(1)(ii) o Rule 506(c)
o Rule 504 (b)(1)(iii) o Securities Act Section 4(a)(5)
  o Investment Company Act Section 3(c)

7. Type of Filing
x New Notice Date of First Sale 2020-04-27 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? o Yes x No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests o Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities x Option, Warrant or Other Right to Acquire Another Security
x Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security o Other (describe)
  


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary) 
  

11. Minimum Investment
Minimum investment accepted from any outside investor$ 0 USD

12. Sales Compensation
RecipientRecipient CRD Number o None
 H.C. Wainwright & Co., LLC 375
(Associated) Broker or Dealer x None(Associated) Broker or Dealer CRD Number x None
    
Street Address 1Street Address 2
 430 Park Avenue 3rd Floor
City State/Province/CountryZIP/Postal Code
 New York NEW YORK 10022
State(s) of Solicitation o All States o Foreign/Non-US
 ILLINOIS
 NEW YORK
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 2432437 USD o Indefinite
Total Amount Sold $ 2432437 USD 
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
  


14. Investors
o Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
 
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: 5


15. Sales Commissions & Finders’ Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions$ 350000 USD o Estimate
Finders' Fees$ 0 USD o Estimate
 
Clarification of Response (if Necessary)
 Commissions include sale of 2,161,166 shares of common stock for gross proceeds to the Company of approximately $5 million. In addition, the Company paid certain expenses.


16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
 $ 0 USD o
Caladrius Biosciences (NASDAQ:CLBS)
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Caladrius Biosciences (NASDAQ:CLBS)
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