SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Mazzo David J – ‘4’ for 1/9/24 re: Lisata Therapeutics, Inc.

On:  Thursday, 1/11/24, at 4:10pm ET   ·   For:  1/9/24   ·   As:  Director and Officer   ·   Accession #:  1334549-24-2   ·   File #:  1-33650

Previous ‘4’:  ‘4’ on 1/17/23 for 1/13/23   ·   Next & Latest:  ‘4’ on 1/12/24 for 1/11/24

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

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

 1/11/24  Mazzo David J                     4          Dir.,Off.   1:9K   Lisata Therapeutics, Inc.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     10K 
                Securities by an Insider --                                      
                wk-form4_1705007427.xml/5.8


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider — wk-form4_1705007427.xml/5.8
 

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

This is our “Plain Text” rendering:
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0508
Document Type:  4
Period of Report:  1/9/24
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  320017
Issuer Name:  LISATA THERAPEUTICS, INC.
Issuer Trading Symbol:  LSTA
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1334549
Owner Name:  Mazzo David J
Reporting Owner Address:
Owner Street 1:  C/O LISATA THERAPEUTICS, INC.
Owner Street 2:  110 ALLEN ROAD, 2ND FLOOR
Owner City:  BASKING RIDGE
Owner State:  NJ
Owner ZIP Code:  07920
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  Yes
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:  Chief Executive Officer
Aff 10b5 One:  0
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  1/9/24
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  94,000
Footnote ID:  F1
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  199,308
Footnote ID:  F2
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  1/9/24
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  12,203
Footnote ID:  F3
Transaction Price Per Share:
Value:  3.08
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  187,105
Footnote ID:  F2
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  1/9/24
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  7,843
Footnote ID:  F3
Transaction Price Per Share:
Value:  3.08
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  179,262
Footnote ID:  F2
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  1/10/24
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  3,470
Footnote ID:  F3
Transaction Price Per Share:
Value:  3
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  175,792
Footnote ID:  F4
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  3.08
Transaction Date:
Value:  1/9/24
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  47,000
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Value:  1/9/24
Footnote ID:  F5
Expiration Date:
Value:  1/9/34
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  47,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  47,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  Represents 94,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.
Footnote - F2:  Includes 115,850 unvested restricted stock.
Footnote - F3:  Shares withheld as payment of a tax liability on vesting of restricted stock.
Footnote - F4:  Includes 109,166 unvested restricted stock.
Footnote - F5:  One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.
Remarks:
Owner Signature:
Signature Name:  James Nisco, Attorney-in-Fact for David J. Mazzo
Signature Date:  1/11/24


↑Top
Filing Submission 0001334549-24-000002   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Mon., May 13, 10:51:11.2am ET