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  4. [Form 4] LISATA THERAPEUTICS, INC. Insider Trading Activity

Lisata Therapeutics (NASDAQ: LSTA) grants stock, options to EVP Buck

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Lisata Therapeutics executive Kristen K. Buck, EVP, R&D and CMO, reported new equity awards and related tax-withholding transactions. On 01/09/2026 she received 25,000 shares of common stock as restricted stock awards under Lisata’s 2018 Equity Incentive Compensation Plan, vesting in four equal annual installments starting on the grant date. On the same date she was also granted stock options for 13,000 shares at an exercise price of $1.97 per share, with one-fourth vesting immediately and the rest in equal annual installments through 01/09/2036.

To cover tax liabilities from vesting restricted stock, multiple transactions coded “F” withheld a total of 11,332 common shares at $1.97 per share. Following these transactions, Buck directly beneficially owns 93,462 shares of common stock, which include 38,000 unvested restricted shares, as well as 13,000 stock options.

Positive

  • None.

Negative

  • None.
Insider Buck Kristen K
Role EVP, R&D and CMO
Type Security Shares Price Value
Grant/Award Stock Option (Right to Buy) 13,000 $0.00 --
Grant/Award Common Stock 25,000 $0.00 --
Tax Withholding Common Stock 2,982 $1.97 $6K
Tax Withholding Common Stock 2,982 $1.97 $6K
Tax Withholding Common Stock 3,221 $1.97 $6K
Tax Withholding Common Stock 2,147 $1.97 $4K
Holdings After Transaction: Stock Option (Right to Buy) — 13,000 shares (Direct); Common Stock — 104,794 shares (Direct)
Footnotes (1)
  1. Represents 25,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date. Includes 38,000 unvested restricted stock. Shares withheld as payment of a tax liability on vesting of restricted stock. One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Buck Kristen K
(Last) (First) (Middle)
C/O LISATA THERAPEUTICS, INC.
110 ALLEN ROAD, 2ND FLOOR
(Street)
BASKING RIDGE NJ 07920
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
LISATA THERAPEUTICS, INC. [ LSTA ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, R&D and CMO
3. Date of Earliest Transaction (Month/Day/Year)
01/09/2026
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/09/2026 A 25,000(1) A $0 104,794(2) D
Common Stock 01/09/2026 F 2,982(3) D $1.97 101,812(2) D
Common Stock 01/09/2026 F 2,982(3) D $1.97 98,830(2) D
Common Stock 01/09/2026 F 3,221(3) D $1.97 95,609(2) D
Common Stock 01/09/2026 F 2,147(3) D $1.97 93,462(2) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $1.97 01/09/2026 A 13,000 01/09/2026(4) 01/09/2036 Common Stock 13,000 $0 13,000 D
Explanation of Responses:
1. Represents 25,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.
2. Includes 38,000 unvested restricted stock.
3. Shares withheld as payment of a tax liability on vesting of restricted stock.
4. One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.
Remarks:
James Nisco, Attorney-in-Fact for Kristen K. Buck 01/13/2026
** 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 4 (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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider activity did Lisata Therapeutics (LSTA) report for Kristen K. Buck?

The filing shows that Kristen K. Buck, EVP, R&D and CMO of Lisata Therapeutics, received new restricted stock and stock option awards on 01/09/2026, along with share withholdings to cover taxes on vested restricted stock.

How many restricted Lisata Therapeutics (LSTA) shares did Kristen Buck receive?

Kristen Buck received 25,000 restricted shares of Lisata common stock, granted under the company’s 2018 Equity Incentive Compensation Plan, vesting in four equal annual installments beginning on the grant date.

What stock options were granted to Kristen Buck at Lisata Therapeutics (LSTA)?

She was granted a stock option for 13,000 shares of Lisata common stock with an exercise price of $1.97 per share. One-fourth of the option vested on 01/09/2026, with additional one-fourth portions vesting on each of the first, second, and third anniversaries, and the option expires on 01/09/2036.

Why were some Lisata Therapeutics (LSTA) shares withheld from Kristen Buck?

The filing explains that several transactions coded “F” reflect shares withheld as payment of a tax liability on vesting of restricted stock, at a price of $1.97 per share.

How many Lisata Therapeutics (LSTA) shares does Kristen Buck own after these transactions?

After the reported transactions, Kristen Buck directly beneficially owns 93,462 shares of Lisata common stock, which include 38,000 unvested restricted shares, as well as 13,000 stock options.

What is the vesting schedule for Kristen Buck’s Lisata restricted stock awards and options?

Both the 25,000 restricted shares and the 13,000 stock options vest in four equal installments: one-fourth vests on the grant date, and one-fourth vests on each of the first, second, and third anniversaries of the grant date.