Exempt Offering Notice · D

Lisata Therapeutics, Inc.

LSTANASDAQEQUITYCurrent

Exempt Offering Notice

Filed Oct 2, 2026Accepted Oct 2, 2026, 4:23 PM EDTFiling CIK 320017Accession 0000320017-26-000039

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Structured filing — D

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Issuer

Name: LISATA THERAPEUTICS, INC.
CIK: 0000320017
Entity type: Corporation
Jurisdiction: DELAWARE
Phone: 908-229-2590
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920
Incorporated more than five years ago: true
Previous EDGAR names: CALADRIUS BIOSCIENCES, INC. · Caladrius Biosciences, Inc. · NeoStem, Inc.

Related person 1

First name: DAVID
Last name: MAZZO
Relationships: Executive Officer · Director
Relationship clarification: [blank]
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920

Related person 2

First name: JAMES
Last name: NISCO
Relationships: Executive Officer
Relationship clarification: [blank]
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920

Related person 3

First name: TARIQ
Last name: IMAM
Relationships: Executive Officer
Relationship clarification: [blank]
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920

Related person 4

First name: GREGORY
Last name: BROWN
Relationships: Director
Relationship clarification: [blank]
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920

Related person 5

First name: HEIDI
Last name: HENSON
Relationships: Director
Relationship clarification: [blank]
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920

Related person 6

First name: CYNTHIA
Last name: FLOWERS
Relationships: Director
Relationship clarification: [blank]
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920

Related person 7

First name: STEVEN
Last name: KLOSK
Relationships: Director
Relationship clarification: [blank]
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920

Related person 8

First name: MOHAMMAD
Last name: AZAB
Relationships: Director
Relationship clarification: [blank]
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920

Related person 9

First name: TED
Last name: LOVE
Relationships: Director
Relationship clarification: [blank]
Street: 110 ALLEN ROAD
Street (continued): SECOND FLOOR
City: BASKING RIDGE
State / country code: NJ
State / country: NEW JERSEY
Postal code: 07920

Offering

Industry: Biotechnology
Revenue range: Decline to Disclose
Exemption codes: 06b
Amendment: false
First sale date: 2026-09-17
Offering lasts more than one year: false
Equity securities: true
Option, warrant or other right to acquire a security: true
Business combination: true
Business combination clarification: [blank]
Minimum investment accepted: 0
Total offering amount: 351,903,103
Amount sold: 351,903,103
Remaining amount: 0
Amount clarification: [blank]
Non-accredited investors reported: true
Non-accredited investor count: 20
Investors already participating: 20

Commissions, fees and proceeds

Sales commissions: 2,600,000
Finders’ fees: 0
Commission / fee clarification: [blank]
Gross proceeds used: 0
Use of proceeds clarification: [blank]

Sales compensation recipient 1

Name: H.C.WAINWRIGHT & CO., LLC
CRD: 375
Associated broker-dealer: None
Broker-dealer CRD: None
Foreign solicitation: false
Street: 430 PARK AVENUE
Street (continued): 4TH FLOOR
City: NEW YORK
State / country code: NY
State / country: NEW YORK
Postal code: 10022
Solicitation jurisdictions: All States

Sales compensation recipient 2

Name: LEERINK PARTNERS LLC
CRD: 39011
Associated broker-dealer: None
Broker-dealer CRD: None
Foreign solicitation: false
Street: 53 STATE STREET
Street (continued): 40TH FLOOR
City: BOSTON
State / country code: MA
State / country: MASSACHUSETTS
Postal code: 02109
Solicitation jurisdictions: All States

Sales compensation recipient 3

Name: LIFESCI CAPITAL
CRD: 168404
Associated broker-dealer: None
Broker-dealer CRD: None
Foreign solicitation: false
Street: 1700 BROADWAY
Street (continued): 40TH FLOOR
City: NEW YORK
State / country code: NY
State / country: NEW YORK
Postal code: 10019
Solicitation jurisdictions: All States

Signature authorization

Authorized representative: false

Signature 1

Issuer: LISATA THERAPEUTICS, INC.
Signer: David Mazzo
Signed: /s/ David Mazzo
Title: CEO
Date: 2026-10-02

Company context

Lisata Therapeutics is a clinical-stage pharmaceutical company. Following its acquisition of Marea Therapeutics, Lisata’s lead product candidate is MAR001, which is in Phase 2b clinical development for the treatment of severe hypertriglyceridemia (sHTG), a condition characterized by very high triglyceride levels. The Company is also advancing MAR002 for the treatment of acromegaly. Lisata’s cyclic peptide product candidate, certepetide, is an investigational drug designed to activate a novel uptake pathway that allows co-administered or tethered anti-cancer drugs to selectively target and penetrate solid tumors more effectively. For more information on the Company, please visit www.lisata.com.

Current securities

LSTANASDAQ · EQUITY · Current

Historical securities (2)

CLBSOTC · EQUITY · Historical · closed Sep 14, 2022 NBS.WSNYSE_AMERICAN · WARRANT · Historical · closed Jan 15, 2025

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