SEC FORM 3 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
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Slack David W.
(Last) (First) (Middle)
110 ALLEN ROAD
2ND FLOOR
(Street)
BASKING RIDGE NJ 07920
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/15/2022 		3. Issuer Name and Ticker or Trading Symbol
LISATA THERAPEUTICS, INC. [ LSTA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President & CBO
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)
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) 03/31/2021(1) 12/03/2029 Common Stock 10,676 $4.22 D
Stock Option (Right to Buy) 12/29/2021(2) 12/29/2030 Common Stock 244,213 $3.6 D
Explanation of Responses:
1. 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.
2. 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
James Nisco, Attorney-in-fact for David Slack 09/16/2022
** 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.