David W. Slack - 15 Sep 2022 Form 3 Insider Report for LISATA THERAPEUTICS, INC. (LSTA)

Role
President & CBO, Director
Signature
James Nisco, Attorney-in-fact for David Slack
Issuer symbol
LSTA
Transactions as of
15 Sep 2022
Net transactions value
$0
Form type
3
Filing time
16 Sep 2022, 16:51:42 UTC
Next filing
11 Jan 2023
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding LSTA Stock Option (Right to Buy) 15 Sep 2022 Common Stock 10,676 $4.22 Direct F1
holding LSTA Stock Option (Right to Buy) 15 Sep 2022 Common Stock 244,213 $3.60 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Twenty-five percent (25%) of the shares issuable upon exercise of the options (the "Option Shares") shall vest on the last day of each three-month period following December 3, 2019 (the "Grant Date"), such that all of the Option Shares shall be vested on the one-year anniversary of the Grant Date.
F2 Twenty-five percent (25%) of the Option Shares will be vested and exercisable upon the one (1) year anniversary of December 29, 2020 (the "Grant Date"); and the remaining Option Shares will vest and become exercisable in a series of thirty-six (36) successive equal monthly installments, rounded downward to the nearest whole share, measured from the first (1st) anniversary of the Grant Date, such that 100% of the Option Shares will be vested and exercisable upon the fourth (4th) anniversary of the Grant Date.

Remarks:

Exhibit List: Exhibit 24, Power of Attorney