SEC Info - Caladrius Biosciences, Inc. - ‘10-K’ for 12/31/19

SEC Info℠

Home

Help

Please Sign In

Caladrius Biosciences, Inc. – ‘10-K’ for 12/31/19 – ‘EX-32’

On: Thursday, 3/5/20, at 4:13pm ET · For: 12/31/19 · Accession #: 320017-20-16 · File #: 1-33650

  As Of               Filer                 Filing    For·On·As Docs:Size

 3/05/20  Caladrius Biosciences, Inc.       10-K       12/31/19   72:5.4M

Annual Report — Form 10-K — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML    652K 
 2: EX-4.3      Instrument Defining the Rights of Security Holders  HTML     34K 
 3: EX-21.1     Subsidiaries List                                   HTML     22K 
 4: EX-23.1     Consent of Experts or Counsel                       HTML     23K 
 5: EX-31.1     Certification -- §302 - SOA'02                      HTML     25K 
 6: EX-31.2     Certification -- §302 - SOA'02                      HTML     25K 
 7: EX-32       Certification -- §906 - SOA'02                      HTML     24K 
24: R1          Document and Entity Information                     HTML     54K 
52: R2          Consolidated Balance Sheets                         HTML     94K 
69: R3          Consolidated Balance Sheets (Parenthetical)         HTML     49K 
38: R4          Consolidated Statements of Operations               HTML     62K 
26: R5          Consolidated Statements of Comprehensive Loss       HTML     45K 
53: R6          Consolidated Statements of Equity                   HTML     71K 
70: R7          Consolidated Statements of Cash Flows               HTML     95K 
34: R8          The Business                                        HTML     28K 
28: R9          Summary of Significant Accounting Policies          HTML     42K 
61: R10         Available-for-Sale-Securities                       HTML     70K 
56: R11         Property and Equipment                              HTML     35K 
18: R12         Loss Per Share                                      HTML     29K 
44: R13         Fair Value Measurements                             HTML     52K 
60: R14         Accrued Liabilities                                 HTML     32K 
55: R15         Operating Leases                                    HTML     39K 
17: R16         Stockholders' Equity                                HTML    114K 
43: R17         Share-Based Compensation                            HTML     56K 
62: R18         Research Funding                                    HTML     27K 
54: R19         Income Taxes                                        HTML     86K 
29: R20         Contingencies                                       HTML     23K 
35: R21         Subsequent Events                                   HTML     22K 
72: R22         Summary of Significant Accounting Policies          HTML     68K 
                (Policies)                                                       
51: R23         Summary of Significant Accounting Policies          HTML     36K 
                (Tables)                                                         
27: R24         Available-for-Sale-Securities (Tables)              HTML     72K 
33: R25         Property and Equipment (Tables)                     HTML     36K 
71: R26         Loss Per Share (Tables)                             HTML     29K 
50: R27         Fair Value Measurements (Tables)                    HTML     49K 
25: R28         Accrued Liabilities (Tables)                        HTML     31K 
37: R29         Operating Leases (Tables)                           HTML     38K 
41: R30         Stockholders' Equity (Tables)                       HTML     96K 
14: R31         Share-Based Compensation (Tables)                   HTML     62K 
57: R32         Income Taxes (Tables)                               HTML     83K 
63: R33         Summary of Significant Accounting Policies -        HTML     28K 
                Narrative (Details)                                              
42: R34         Available-for-Sale-Securities - Summary of          HTML     38K 
                Available-for-Sale Securities (Details)                          
15: R35         Available-for-Sale-Securities - Classification on   HTML     29K 
                Consolidated Balance Sheets (Details)                            
58: R36         Available-for-Sale-Securities - Summary of          HTML     40K 
                Contractual Maturities (Details)                                 
64: R37         Property and Equipment (Details)                    HTML     39K 
40: R38         Loss Per Share (Details)                            HTML     30K 
16: R39         Fair Value Measurements (Details)                   HTML     33K 
31: R40         Accrued Liabilities (Details)                       HTML     34K 
21: R41         Operating Leases - Narrative (Details)              HTML     34K 
47: R42         Operating Leases - Balance Sheet Presentation       HTML     34K 
                (Details)                                                        
67: R43         Operating Leases - Future Minimum Lease Payments    HTML     35K 
                Under Lease Agreements (Details)                                 
32: R44         Stockholders' Equity - Equity Plan (Details)        HTML     64K 
22: R45         Stockholders' Equity - Equity Issuances (Details)   HTML     59K 
48: R46         Stockholders' Equity - Activity for Stock Options   HTML    121K 
                and Warrants (Details)                                           
68: R47         Stockholders' Equity - Restricted Stock and         HTML     41K 
                Restricted Stock Units (Details)                                 
30: R48         Share-Based Compensation - Share-based              HTML     28K 
                Compensation Expense (Details)                                   
23: R49         Share-Based Compensation - Compensation Cost Not    HTML     32K 
                Yet Recognized (Details)                                         
20: R50         Share-Based Compensation - Fair Value of Shares     HTML     27K 
                Vested and Weighted Average Estimated Fair Value                 
                of Shares Granted (Details)                                      
46: R51         Share-Based Compensation - Valuation Assumptions    HTML     43K 
                (Details)                                                        
66: R52         Research Funding (Details)                          HTML     36K 
59: R53         Income Taxes - Narrative (Details)                  HTML     29K 
19: R54         Income Taxes - Loss from Operations Before          HTML     27K 
                Provision for Income Taxes (Details)                             
45: R55         Income Taxes - Effective Income Tax Reconciliation  HTML     50K 
                (Details)                                                        
65: R56         Income Taxes - Components of Deferred Income Taxes  HTML     63K 
                (Details)                                                        
49: XML         IDEA XML File -- Filing Summary                      XML    122K 
39: EXCEL       IDEA Workbook of Financial Reports                  XLSX     65K 
 8: EX-101.INS  XBRL Instance -- clbs-20191231                       XML   1.32M 
10: EX-101.CAL  XBRL Calculations -- clbs-20191231_cal               XML    192K 
11: EX-101.DEF  XBRL Definitions -- clbs-20191231_def                XML    329K 
12: EX-101.LAB  XBRL Labels -- clbs-20191231_lab                     XML   1.29M 
13: EX-101.PRE  XBRL Presentations -- clbs-20191231_pre              XML    710K 
 9: EX-101.SCH  XBRL Schema -- clbs-20191231                         XSD    135K 
36: ZIP         XBRL Zipped Folder -- 0000320017-20-000016-xbrl      Zip    157K

‘EX-32’ — Certification — §906 – SOA’02

This Exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

<! C: C:

Exhibit

Exhibit 32

CERTIFICATIONS UNDER SECTION 906

Pursuant to section 906 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of section 1350, chapter 63 of title 18, United States Code), each of the undersigned officers of Caladrius Biosciences, Inc. a Delaware corporation (the “Company”), does hereby certify, to such officer’s knowledge, that:

The Annual Report for the year ended December 31, 2019 (the “Form 10-K”) of the Company fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, and the information contained in the Form 10-K fairly presents, in all material respects, the financial condition and results of operations of the Company.



Dated:	March 5, 2020	/s/ *David J. Mazzo*
		David J. Mazzo, PhD
		President and Chief Executive Officer
		(Principal Executive Officer)

Dated:	March 5, 2020	/s/ *Joseph Talamo*
		Joseph Talamo
		Senior Vice President and Chief Financial Officer
		(Principal Financial Officer)

Dates Referenced Herein and Documents Incorporated by Reference

This ‘10-K’ Filing	Date	Other Filings

Filed on:	3/5/20	8-K
For Period end:	12/31/19
		List all Filings

5 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/21/22  Lisata Therapeutics, Inc.         10-K/A     12/31/21   14:7.4M
 3/22/22  Lisata Therapeutics, Inc.         10-K       12/31/21   73:6.6M
 2/25/21  Lisata Therapeutics, Inc.         10-K       12/31/20   73:6.6M
 2/05/21  Lisata Therapeutics, Inc.         424B3                  1:160K                                   Toppan Merrill/FA
 1/29/21  Lisata Therapeutics, Inc.         S-3                    3:244K                                   Toppan Merrill/FA

↑Top

Filing Submission 0000320017-20-000016 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)