Lisata Therapeutics (LSTA) Form 3 LISATA THERAPEUTICS / James Nisco ownership change

SEC Form 3

FORM 3

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person^*

Nisco James

(Last) (First) (Middle)

C/O LISATA THERAPEUTICS, INC.

110 ALLEN ROAD, 2ND FLOOR

(Street)

BASKING RIDGE NJ 07920

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
04/15/2024

3. Issuer Name and Ticker or Trading Symbol
LISATA THERAPEUTICS, INC. [ LSTA ]

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

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

5. 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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	11,357(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	03/23/2016	02/16/2025	Common Stock	64	580.5	D
Stock Option (Right to Buy)	06/02/2018	06/02/2025	Common Stock	66	339	D
Stock Option (Right to Buy)	01/25/2019	01/25/2026	Common Stock	33	94.5	D
Stock Option (Right to Buy)	09/29/2016	09/29/2026	Common Stock	398	71.55	D
Stock Option (Right to Buy)	01/09/2020	01/09/2027	Common Stock	39	53.1	D
Stock Option (Right to Buy)	01/08/2021	01/08/2028	Common Stock	140	56.85	D
Stock Option (Right to Buy)	01/14/2022	01/14/2029	Common Stock	168	74.25	D
Stock Option (Right to Buy)	01/13/2023	01/13/2030	Common Stock	201	49.2	D
Stock Option (Right to Buy)	01/11/2024	01/11/2031	Common Stock	466	23.85	D
Stock Option (Right to Buy)	(2)	01/10/2032	Common Stock	1,466	13.76	D
Stock Option (Right to Buy)	(3)	01/09/2033	Common Stock	3,000	3	D
Stock Option (Right to Buy)	(4)	01/09/2034	Common Stock	4,000	3.08	D

Explanation of Responses:

1. Includes (i) 732 restricted stock units granted on January 10, 2022 and vesting in four equal annual installments beginning on the grant date, (ii) 2,750 restricted stock units granted on January 9, 2023 and vesting in four equal annual installments beginning on the grant date, and (iii) 6,000 restricted stock units granted on January 9, 2024 and vesting in four equal annual installments beginning on the grant date.

2. This option was granted on January 10, 2022 and vests in four equal annual installments beginning on the grant date.

3. This option was granted on January 9, 2023 and vests in four equal annual installments beginning on the grant date.

4. This option was granted on January 9, 2024 and vests in four equal annual installments beginning on the grant date.

Remarks:

Senior Vice President, Finance and Treasury and Chief Accounting Officer Exhibit 24.1 - Power of Attorney

	/s/ James Nisco	04/24/2024
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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