| 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 |
|
|||||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
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)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
| |||||||||||||||
| 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. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
Exhibit 24.1
POWER OF ATTORNEY
Know all by these present, that the undersigned hereby constitutes and appoints each of David J. Mazzo, Tariq Imam and Amy Jackson Ayala of Lisata Therapeutics, Inc. (the “Company”), and Jeffrey P. Schultz and Joel Papernik of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., signing singly, with full power of substitution, the undersigned’s true and lawful attorney-in-fact to:
1) execute and deliver for and on behalf of the undersigned, forms and authentication documents for EDGAR Filing Access;
2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such forms and authentication documents;
3) execute and deliver for and on behalf of the undersigned, in the undersigned’s capacity as an officer, director and/or 10% shareholder of the Company, Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;
4) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 and timely file such form with the United States Securities and Exchange Commission and any stock exchange, self-regulatory or similar authority; and
5) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.
The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, (i) any of the undersigned's responsibilities to comply with the requirements of the Exchange Act or any liability for the undersigned’s failure to comply with such requirements or (ii) any obligation or liability that the undersigned incurs for profit disgorgement under Section 16(b) of the Securities Exchange Act of 1934, as amended.
This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.
This Power of Attorney does not revoke any other power of attorney that the undersigned has previously granted.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed this 15th day of April 2024.
| /s/ James Nisco | |
| Signature | |
| James Nisco | |
| Print Name |
1