Ownership Submission
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549INITIAL 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
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OMB APPROVAL
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OMB Number:3235-0104Expires:January 31, 2005Estimated average burden hours per response...0.5
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1. Name and Address of Reporting Person *
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Nisco James
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2. Date of Event Requiring Statement (Month/Day/Year)
2024-04-15
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3. Issuer Name and Ticker or Trading Symbol
LISATA THERAPEUTICS, INC. [LSTA]
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(Last)
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(First)
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(Middle)
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C/O LISATA THERAPEUTICS, INC. , 110 ALLEN ROAD, 2ND FLOOR
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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_____ Director
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_____ 10% Owner
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_____ Officer (give title below)
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_____ Other (specify below)
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See Remarks /
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5. If Amendment, Date Original Filed(Month/Day/Year)
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(Street)
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BASKING RIDGE
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NJ
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07920
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6. Individual or Join/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
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2. Amount of Securities Beneficially Owned
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3. Ownership Form: Direct (D) or Indirect (I)
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4. Nature of Indirect Beneficial Ownership
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
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2. Date Exercisable and Expiration Date
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3. Title and Amount of Securities Underlying Derivative Security
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
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6. Nature of Indirect Beneficial Ownership
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Date Exercisable
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Expriation Date
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Title
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Amount or Number of Shares
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Nisco James
C/O LISATA THERAPEUTICS, INC.
110 ALLEN ROAD, 2ND FLOOR
BASKING RIDGE, NJ07920
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See Remarks
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Signatures
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/s/ James Nisco
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2024-04-24
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**Signature of Reporting Person
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Date
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Explanation of Responses:
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(*)
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If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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(**)
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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(1)
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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.
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(2)
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This option was granted on January 10, 2022 and vests in four equal annual installments beginning on the grant date.
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(3)
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This option was granted on January 9, 2023 and vests in four equal annual installments beginning on the grant date.
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(4)
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This option was granted on January 9, 2024 and vests in four equal annual installments beginning on the grant date.
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Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
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