Eric Wei Form 4 Caladrius Biosciences / Eric Wei ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Wei Eric

(Last) (First) (Middle)

C/O CALADRIUS BIOSCIENCES, INC.

106 ALLEN ROAD

(Street)

BASKING RIDGE NJ 07920

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Caladrius Biosciences, Inc. [ CLBS ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
06/30/2016

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/30/2016		S		71,406(1)	D	$0.602	1,893,322	I	See Footnote(2)(3)
Common Stock	07/01/2016		S		16,094(1)	D	$0.6081	1,877,228	I	See Footnote(2)(3)
Common Stock								26,500(4)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The transaction reported in this line item was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016.

2. Following the reported transactions, 1,865,228 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 12,000 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 9,000 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 25, 2017 and 7,500 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on June 22, 2017.

	Eric H.C. Wei, By: /s/ Todd C. Girolamo, Esq., Attorney-in-Fact	07/05/2016
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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