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Filing Details

Accession Number:: 0001567619-21-004569
Form Type:: 13G Filing
Publication Date:: 2021-02-22 14:11:23

Filed By:: Mmcap International Inc. Spc
Company:: Lisata Therapeutics Inc. (NASDAQ:LSTA)
Filing Date:: 2021-02-22
SEC Url:: 13G Filing

Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name	Sole Voting Power	Shared Voting Power	Sole Dispositive Power	Shared Dispositive Power	Aggregate Amount Owned Power	Percent of Class
MMCAP International Inc. SPC	0	5,142,858	0	5,142,858	5,142,858	Up to 9.99%
MM Asset Management Inc	0	5,142,858	0	5,142,858	5,142,858	Up to 9.99%

Filing

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. n/a )*

Caladrius Biosciences Inc

(Name of Issuer)

Common Stock, par value $0.001

(Title of Class of Securities)

128058203

(CUSIP Number)

February 12, 2021

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o Rule 13d-1(b)

x Rule 13d-1(c)

o Rule 13d-1(d)

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

CUSIP No.

128058203


1	NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
	MMCAP International Inc. SPC

2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
	(a) x
	(b) o

3	SEC USE ONLY



4	CITIZENSHIP OR PLACE OF ORGANIZATION

	Cayman Islands

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:		5	SOLE VOTING POWER

			0

		6	SHARED VOTING POWER

			5,142,858*

		7	SOLE DISPOSITIVE POWER

			0

		8	SHARED DISPOSITIVE POWER

			5,142,858*

9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

	5,142,858*

10	CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

	o

11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

	**Up to 9.99%

12	TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

	CO
	FOOTNOTES

	Consists of 3,428,572 shares of the Issuer's common stock and warrants to acquire an additional 1,714,286 shares of the Issuer's common stock. *The percentages used herein are calculated based on 59,505,265 outstanding shares of common stock of the Issuer as of February 12, 2021. The warrants held by the reporting persons are not exercisable if, as a result of the exercise, the holder would then become a "ten percent beneficial owner" of the Issuer's common stock, as defined in Rule 16a-2 of the Securities and Exchange Act of 1934, as amended.

CUSIP No.

128058203


1	NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
	MM Asset Management Inc.

2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
	(a) x
	(b) o

3	SEC USE ONLY



4	CITIZENSHIP OR PLACE OF ORGANIZATION

	Ontario, Canada

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:		5	SOLE VOTING POWER

			0

		6	SHARED VOTING POWER

			5,142,858*

		7	SOLE DISPOSITIVE POWER

			0

		8	SHARED DISPOSITIVE POWER

			5,142,858*

9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

	5,142,858*

10	CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

	o

11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

	**Up to 9.99%

12	TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

	CO
	FOOTNOTES

	Consists of 3,428,572 shares of the Issuer's common stock and warrants to acquire an additional 1,714,286 shares of the Issuer's common stock. *The percentages used herein are calculated based on 59,505,265 outstanding common shares of the Issuer as of February 12, 2021. The warrants held by the reporting persons are not exercisable if, as a result of the exercise, the holder would then become a "ten percent beneficial owner" of the Issuer's common stock, as defined in Rule 16a-2 of the Securities and Exchange Act of 1934, as amended.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

	MMCAP International Inc. SPC

Date: February 22, 2021	By:	/s/ Matthew McIsaac
		Name: Matthew McIsaac
		Title: Director

	MM Asset Management Inc.

Date: February 22, 2021	By:	/s/ Hillel Meltz
		Name: Hillel Meltz
		Title: President

Footnotes:

*Consists of 3,428,572 shares of the Issuer's common stock and warrants to acquire an additional 1,714,286 shares of the Issuer's common stock.

**The percentages used herein are calculated based on 59,505,265 outstanding shares of common stock of the Issuer as of February 12, 2021. The warrants held by the reporting persons are not exercisable if, as a result of the exercise, the holder would then become a "ten percent beneficial owner" of the Issuer's common stock, as defined in Rule 16a-2 of the Securities and Exchange Act of 1934, as amended.

Attention:

Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)